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Latest Practice Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Practice Compliance weekly highlights—29 July 2021

Practice Compliance weekly highlights—29 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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...
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19th May
tag iconIn-house
Practice notes

The Information Commissioner’s Office (ICO)

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes

Brexit—exiting the EU under Article 50 [Archived]

Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
tag iconBrexit
Practice notes

SRA Accounts Rules 2019

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,...
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19th May
Precedents

Modern slavery: contract clauses

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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19th May
tag iconIn-house
Practice notes

High-risk third countries tracker

High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
tag iconIn-house
Practice notes

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes

Introduction to retained EU law

Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
tag iconBrexit
Practice notes

Safeguards and information barriers

Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes

Undertakings and the SRA 2019

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...
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19th May
Practice notes

Duties of confidentiality and disclosure 2019

Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Practice notes

SRA Handbook 2011 [Archived]

SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Precedents

Financial sanctions policy

1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May
tag iconBrexit

Most recent Q&As content

Q&As

It is becoming more common that conveyancers are asking for confirmation that the seller's solicitors have carried out ID checks and are satisfied that the seller is the registered proprietor. I am concerned about the transfer of AML and fraud risk particularly where the buyer's solicitors state they will be placing reliance upon the representations made by the seller's solicitors. Should my response be that the buyer should make/rely on their own checks?

It is becoming more common that conveyancers are asking for confirmation that the seller's solicitors have carried out ID checks and are satisfied...
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Produced in partnership with Jeff Hardman of 12 New Square Chambers 3rd Aug
Q&As

What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for information mandatory or voluntary?

What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for...
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1st Aug
Q&As

If a multinational company with entities in a number of EU states has registered a data protection officer (DPO) with the Information Commissioner’s Office (ICO), does it need to register a DPO in the other EU states where it has entities or is registration in one country sufficient?

If a multinational company with entities in a number of EU states has registered a data protection officer (DPO) with the Information Commissioner’s...
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Produced in partnership with Alexander Dittel of Kemp Little 1st Aug
Q&As

When barristers receive papers from instructing solicitors, are they obliged to serve a privacy notice on the lay client?

When barristers receive papers from instructing solicitors, are they obliged to serve a privacy notice on the lay client?The Q&A: When a solicitor...
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1st Aug
Q&As

What are the potential lawful grounds for processing the personal data of third parties received by a professional services firm in the course of advising a client?

What are the potential lawful grounds for processing the personal data of third parties received by a professional services firm in the course of...
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1st Aug
Q&As

If a client makes a subject access request, what information are we obliged to provide and what can we retain? Can we give the client a summary of the data held or do we need to provide a copy?

If a client makes a subject access request, what information are we obliged to provide and what can we retain? Can we give the client a summary of the...
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1st Aug
Q&As

What is an employer’s lawful ground for processing when moving from paper to electronic payslips?

What is an employer’s lawful ground for processing when moving from paper to electronic payslips?Practice Note: Processing personal data—lawful...
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Produced in partnership with David Green of 12 King’s Bench Walk 1st Aug
Q&As

Do I need consent to process the personal data of existing and new clients—law firms?

Do I need consent to process the personal data of existing and new clients—law firms?Whether you need consent to process the personal data of existing...
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1st Aug
Q&As

When using the Model Clauses for the transfer of data between the EU and the US, if you amend in some way, does this deem them invalid in their entirety?

When using the Model Clauses for the transfer of data between the EU and the US, if you amend in some way, does this deem them invalid in their...
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1st Aug
Q&As

Do we have to provide a translation of our privacy notice for clients or customers whose first language is not English?

Do we have to provide a translation of our privacy notice for clients or customers whose first language is not English?See Practice Note: Privacy...
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1st Aug
Q&As

Do original court documents that are not signed as deeds need to be retained, and if so, for how long? Does it have to be the originals that are retained, or can they be scanned and stored electronically while the physical originals are destroyed?

Do original court documents that are not signed as deeds need to be retained, and if so, for how long? Does it have to be the originals that are...
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1st Aug
Q&As

Is an expert witness a controller or processor of personal data under the General Data Protection Regulation?

Is an expert witness a controller or processor of personal data under the General Data Protection Regulation?The question of whether a person or...
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1st Aug
Q&As

What lawful basis for processing can a firm rely on where the firm provides required information to third parties, eg a third party referrer or funder?

What lawful basis for processing can a firm rely on where the firm provides required information to third parties, eg a third party referrer or...
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Produced in partnership with Shobana Iyer of Swan Chambers 1st Aug
Q&As

If a solicitor agrees to charge a fixed fee for a piece of work but then does not carry out all the work which was envisaged in the original engagement letter, is he/she still entitled to charge the full fixed fee or is he only entitled to charge for the work actually carried out?

If a solicitor agrees to charge a fixed fee for a piece of work but then does not carry out all the work which was envisaged in the original...
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1st Aug
Q&As

Can I enter into a retrospective CFA?

Can I enter into a retrospective CFA?The simple answer is yes.Whether you can enter into a retrospective conditional fee agreement (CFA) is not a...
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1st Aug
Q&As

We consider that the cap of 25% of damages for our fees does not include any after-the-event (ATE) premium payable, ie the client pays our costs (capped at 25%) plus the premium. Could you confirm the position?

We consider that the cap of 25% of damages for our fees does not include any after-the-event (ATE) premium payable, ie the client pays our costs...
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Produced in partnership with Alex Bagnall of Total Legal Solutions 1st Aug
Q&As

For the purpose of benefitting from section 73 of the Solicitors Act 1974—ie that a solicitor can obtain a charging order over an interim costs order which takes priority over the client’s liquidator’s right to such sum—does the solicitor have to obtain the charging order before the client goes into liquidation, or can it be obtained after the commencement of the liquidation?

For the purpose of benefitting from section 73 of the Solicitors Act 1974—ie that a solicitor can obtain a charging order over an interim costs order...
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Produced in partnership with Hannah Drozdz of Gately PLC 1st Aug
Q&As

Circumstances have changed since I entered into a CFA—do I need to do anything?

Circumstances have changed since I entered into a CFA—do I need to do anything?Whether you need to do anything will depend on the date you entered...
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1st Aug
Q&As

Under the US Sanctions regime, if any entity is owned in the aggregate, directly or indirectly, 50% or more by one or more blocked persons, it is itself considered to be a blocked person. What are the equivalent rules regarding minority ownership and/or control which apply under the UK/EU regime?

Under the US Sanctions regime, if any entity is owned in the aggregate, directly or indirectly, 50% or more by one or more blocked persons, it is...
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1st Aug
Q&As

If a company self-reports a corrupt transaction but withholds details of other incidences of bribery, will the SFO give them the benefit of having self reported?

If a company self-reports a corrupt transaction but withholds details of other incidences of bribery, will the SFO give them the benefit of having...
Read More >
1st Aug

Popular documents

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiriesThis Practice Note is about capital allowance-related pre-contract enquiries on a property transfer. It applies to the grant of a new property interest (eg a lease) as well as to the acquisition of an existing lease or freehold.For clauses

Provisional sums

Provisional sums

Provisional sumsWhat are provisional sums?There is no precise standard definition of provisional sum but it is generally understood to refer to an amount inserted in a bill of quantities, or contract sum analysis, to cover certain items of work that cannot be accurately defined, detailed or valued

Negligence—key elements to establish a negligence claim

Negligence—key elements to establish a negligence claim

Negligence—key elements to establish a negligence claimNegligence—what are the key ingredients to establish a claim in negligence?For liability in negligence to be founded, four key ingredients must be present:•duty of care•breach of that duty•damage (which is caused by the breach)•foreseeability of

Section 26 notice—Tenant’s request for a new business tenancy under LTA 1954

Section 26 notice—Tenant’s request for a new business tenancy under LTA 1954

Tenant's request for a new business tenancyThese drafting notes are for use when completing a tenant’s request for a new business tenancy under the Landlord and Tenant Act 1954. They are intended to be used when completing the prescribed form under the Landlord and Tenant Act 1954, Part 2 (Notices)