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
A: General informationDate of review[Insert]Person(s) conducting review[Insert]B: DataCriteriaIn the last [insert period, eg quarter]Over the last 12...
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26th Sep
Precedents
This survey is designed to measure knowledge and understanding of our tax evasion facilitation prevention policies and procedures as a means to assess...
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26th Sep
Precedents
General informationDate of this report[Insert date]Date of last report[Insert date]Name and status of person submitting report[Insert name and status,...
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26th Sep
Precedents
1Introduction1.1Tax evasion is a major issue in world trade, despite the many dedicated efforts to prevent it.1.2Tax evasion is very damaging to the...
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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 tax evasion...
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26th Sep
Precedents
As an organisation we will maintain clear policies and procedures preventing exploitation and human trafficking, and protecting our workforce and...
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26th Sep
Precedents
IntroductionCompliance with tax evasion and tax evasion facilitation laws is critical to [insert organisation name][ and all its businesses].To raise...
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26th Sep
Precedents
We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by tax evasion and tax evasion...
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26th Sep
Precedents
(A)General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)](B)DataCriteriaIn the last [insert period, eg quarter]Over...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding following training on fraud prevention.After you have completed this test,...
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26th Sep
Precedents
QuestionCorrect answer1. What is fraud?(b) Deliberately using deception or dishonesty to deprive, disadvantage or cause loss to another person or...
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26th Sep
Precedents
According to ActionFraud, the UK’s national reporting centre for fraud and cybercrime, fraud occurs when ‘trickery’ is used to gain a dishonest...
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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
​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly available)​​IncludingMultinationalUnited NationsUnited...
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26th Sep
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Argentina; Brazil; France; Germany; India; Japan; Netherlands; Portugal;...
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27th Sep
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
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27th Sep
Precedents
You do not have to behave like a police officer, but you do have to remain alert to the warning signs of property and mortgage fraud and make the sort...
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27th Sep
Precedents

Please click for an Excel version of this register.

Please note that t

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27th Sep
Practice notes
On 6 July 2020, the UK introduced its first autonomous sanctions regime under the Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018). The...
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Produced in partnership with John Binns of BCL Solicitors 27th Sep
Precedents

Please click for the register.

Please note that this regist

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27th Sep

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