Regulatory regime

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Read More >
19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Read More >
19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
Read More >
Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
Read More >
19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
Read More >
19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
Read More >
Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
Read More >
19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Read More >
Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
Read More >
19th May
Practice notes
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
Read More >
19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Read More >
19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
Read More >
19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
Read More >
19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
Read More >
19th May

Most recent Regulatory regime content

Practice notes
Brexit—implications for data protectionThis Practice Note discusses the impact of Brexit on the general processing of personal data under the General...
Read More >
25th Jul
Practice notes
Key definitions under data protection lawOn 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between...
Read More >
25th Jul
Practice notes
Data protection principlesOn 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK,...
Read More >
Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 25th Jul
Q&As
Despite not being in effect until 25 May 2018, can you address the GDPR in contractual agreements now?ImplementationThe General Data Protection...
Read More >
25th Jul
Precedents
Data protection compliance—self-auditLawfulness, fairness and transparencyICO expectationLexisNexis® guidanceLexisNexis® Precedents and tools☐ ...
Read More >
22nd Jul
Practice notes
The Chartered Governance Institute guidance on EU General Data Protection RegulationThis guidance note, dated November 2017, was produced by The...
Read More >
1st Jul
Practice notes
Dealing with the Information Commissioner's OfficeWhat is the Information Commissioner's Office?The Information Commissioner's Office (ICO) is the...
Read More >
1st Jul
Practice notes
UK GDPR—the basicsThis Practice Note explains, in simple terms, the key features of the UK General Data Protection Regulation (UK GDPR). See also...
Read More >
29th Jun
Practice notes
Diversity monitoring and data protection—law firmsYou must monitor, report (to the SRA) and, where appropriate, publish data regarding the diversity...
Read More >
15th Jun
Precedents
Data protection board briefing [Archived]ARCHIVED: This Precedent data protection board briefing has been archived and is not maintained. It is for...
Read More >
6th Jun
Q&As
Will the processing of personal data relating to US citizens by a UK company in the UK be subject to the GDPR (once that applies) (and assuming the...
Read More >
Produced in partnership with Shobana Iyer of Swan Chambers 6th Jun
Practice notes
AML and data protectionThis document reflects the UK GDPR regime. References and links to the GDPR refer to the UK GDPR (Retained Regulation (EU)...
Read More >
5th Jun
Q&As
Under Article 3 of the General Data Protection Regulation, will all personal data processed ‘in the context of the activities of an establishment of a...
Read More >
Produced in partnership with Shobana Iyer of Swan Chambers 5th Jun
Q&As
Does the UK GDPR apply to mixed datasets?This Q&A considers whether the requirements of the UK General Data Protection Regulation (UK GDPR), Retained...
Read More >
5th Jun
Q&As
Does the GDPR prevent law firms or other professional services providers from charging clients for storing or retrieving their files?Law firms—sector...
Read More >
5th Jun
Q&As
Is a law firm a data controller or data processor under the General Data Protection Regulation? If a law firm acts as data processor, what contractual...
Read More >
5th Jun
Precedents
Data protection board briefingDate: [insert date]1IntroductionAs our [insert appropriate term, eg senior management team or board], it is important...
Read More >
5th Jun
Practice notes
AML and data protection—law firmsThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It...
Read More >
5th Jun
Practice notes
Getting the Deal Through: Data Protection & Privacy 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...
Read More >
5th Jun

Popular documents