Crime prevention

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Practice notes
This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
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12th Oct
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Oct
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Oct
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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8th Oct
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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30th Sep
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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27th Sep
Practice notes
Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...
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26th Sep
Practice notes
This Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to a client. It...
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26th Sep
Practice notes
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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26th Sep
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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26th Sep
Practice notes
This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...
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25th Sep
Practice notes
This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The...
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25th Sep
Practice notes
This Practice Note lists all new and updated content to reflect the SRA Standards and Regulations, in force from 25 November 2019.The Standards and...
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25th Sep
Practice notes
This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019, together with supporting...
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25th Sep
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...
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2nd Sep

Most recent Crime prevention content

Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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26th Sep
Practice notes
The Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to prevent facilitation of tax evasion, which came into force on...
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26th Sep
Practice notes
The Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to prevent facilitation of tax evasion, which came into force on...
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26th Sep
Practice notes
BREXIT: This Practice Note includes information on the designations on sanctions in the UK under EU law and how it is impacted by the UK’s decision to...
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26th Sep
Precedents
From: [Insert name and job title].We run our business[es] with integrity. All of us must work together to ensure our business[es] [remains OR remain]...
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26th Sep
Precedents
SAR Reference Number:[insert number](nominated officer use only)A record of this Suspicious Activity Report (SAR) will be kept by the nominated...
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26th Sep
Precedents
1GeneralWhy do we need to engage an agent or intermediary?[Insert details]Name of agent/intermediary[Insert name]Principal contact at...
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26th Sep
Precedents
STOP PRESS: The SRA Standards and Regulations (also known as the ‘StaRs’) are in force from 25 November 2019. They replace the SRA Handbook 2011. Key...
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26th Sep
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws[ across every jurisdiction in...
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26th Sep
Precedents
Instructions on completing this formYou must complete this form in full, attach any required documentation (as set out below), and pass it to [your...
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26th Sep
Precedents
1GeneralDate of review[Insert date]Person conducting this review[Insert name]2Risk assessmentLooking at your risk assessment:Has the risk assessment...
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26th Sep
Precedents
General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]ScreeningConsidering your screening process:Is your screening...
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26th Sep
Precedents
This presentation has been designed as an aid to train your staff on anti-money laundering and counter-terrorist financing.The training materials are...
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26th Sep
Precedents
A: General informationDate of review[Insert date]Person(s) conducting review[Insert name]B: DataCriteriaOver the last 12 monthsNumber of orders,...
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26th Sep
Precedents
The law and red flagsCircle the correct answer.QuestionMultiple choice answers1. What is money laundering?(a) The process through which proceeds of...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on anti-money laundering and...
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26th Sep
Precedents
Supplier detailsCompany name:[Insert company name]Vendor/reference number:[Insert vendor/reference number]Person completing risk assessment[Insert...
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26th Sep
Precedents
Supplier to complete and return to [insert details].GeneralCompany name[Insert]Vendor/reference number[Insert]Your name[Insert]Your job...
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26th Sep
Precedents
In order to determine the level of risk of modern slavery posed to our organisation we have identified and assessed the features of our business which...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on crime prevention.After you have...
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26th Sep

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