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Latest Practice Compliance News

Financial sanctions guidance shows subtle policy shift

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Practice Compliance weekly highlights—15 April 2021

Practice Compliance weekly highlights—15 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—15 April 2021

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

The following Corporate Crime news provides comprehensive and up to date legal information on SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

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 courts. Failure to comply with an...

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officials

The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...

High-risk third countries tracker

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...

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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9th Nov
tag iconIn-house
Practice notes

AML and counter-terrorist financing—source of funds

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 Nov
tag iconIn-house
Practice notes

Introduction to retained EU law

This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
tag iconBrexit
Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents

Anti-bribery and corruption for law firms—post-training assessment questions

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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9th Nov
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 firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Q&As content

Q&As

Is there a specific form to apply for someone to become the firm's nominated officer?

This Q&A reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that any...
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16th Apr
Q&As

Can I still practice EU law if the UK is no longer in the EU?

Only lawyers qualified in an EU Member State are able to practise EU law or argue before EU tribunals such as the Court of Justice of the European...
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8th Apr
tag iconBrexit
Q&As

How do you undertake client due diligence (CDD) checks on an individual who is abroad, who you have never met and is not a PEP?

STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
Q&As

Do I have to establish the source of funds for every property matter?

STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
Q&As

Are there any CDD requirements for transferring money to an unrepresented third party in real estate transactions?

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 came into force on...
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31st Mar
Q&As

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 instructs counsel to appear at a hearing and advise generally in respect of a matter, should the barrister be considered a...
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29th Mar
Q&As

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 notices—information requirements which sets out information requirements that are contained at various places in the...
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29th Mar
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?

Under Article 37 of the General Data Protection Regulation, Regulation (EU) 2016/679 (the GDPR), companies have to appoint a data protection officer...
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Produced in partnership with Alex Dittel 29th Mar
Q&As

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 and future clients depends what data you are processing, why and how.Processing...
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29th Mar
Q&As

Is it necessary for law firms to have a website privacy policy and a separate privacy policy?

There is no specific requirement to have a general client-facing privacy policy and a separate website privacy policy. You should, however, satisfy...
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29th Mar
Q&As

When making a data subject access request to a law firm, is a client entitled to copies of the firm’s own internal communications relating to allegations of negligence by the client against the firm? Is the answer the same for a client complaint rather than an actual or potential claim?

Personal data that is subject to a duty of client confidentiality or contained within communications that are considered to be legally privileged may...
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Produced in partnership with Peter Steel of Augury Consulting Limited 24th Mar
Q&As

Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?

This Q&A draws on the Information Commissioner’s Office’s (ICO’s) guidance on business-to-business marketing, which may or may not be relevant...
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Produced in partnership with Peter Steel of Bevan Brittan 24th Mar
Q&As

When complying with a data subject erasure request, do we have to delete information in our backups?

Article 17 of Retained Retained Regulation (EU) 2016/679, UK General Data Protection Regulation (UK GDPR) grants data subjects the right to have their...
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24th Mar
Q&As

Refusing a data subject request—what is ‘manifestly unfounded or excessive’?

The General Data Protection Regulation (GDPR) provides for enhanced rights for data subjects, including providing rights of access, rectification,...
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24th Mar
Q&As

When receiving a subject access request in relation to CCTV images, how do I deal with images of individuals other than the person to whom the request relates? What if the data subject to whom the request relates is a child?

Practice Note: Handling data subject requests explains that you do not have to comply with a data subject access request if doing so means disclosing...
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24th Mar
Q&As

What data/information can a data subject request from me under the right of access?

The General Data Protection Regulation provides for enhanced rights for data subjects including providing rights of rectification, erasure and...
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24th Mar
Q&As

Do I have to return original correspondence to a third party from a matter I am no longer instructed on where that person has requested access to it under the General Data Protection Regulation?

Correspondence sent by third parties to a firm in the course of a matter generally belongs to the client, and copies of that correspondence made by...
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24th Mar
Q&As

How do we respond to customers who question or challenge us in relation to automated decision making?

Article 22(1) of the General Data Protection Regulation (UK GDPR), Retained Regulation (EU) 2016/679gives data subjects the right not to be subject to...
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24th Mar
Q&As

How long do I have to comply with a data subject request?

The General Data Protection Regulation (GDPR) provides for enhanced rights for data subjects including providing rights of access, rectification,...
Read More >
24th Mar
Q&As

Can I charge a fee for dealing with a data subject access request?

The General Data Protection Regulation (GDPR) provides for enhanced rights for data subjects including providing rights of rectification, erasure and...
Read More >
24th Mar

Popular documents

LEXISNEXIS

Causation and intervening acts in criminal cases

Criminal offences are generally divided into two categories: •conduct crimes, and •result crimesA conduct crime is a crime where only the forbidden conduct needs to be proved. For example, an accused is guilty of dangerous driving if they drove a motor vehicle dangerously on a road or other public

LEXISNEXIS

Key elements of a standstill agreement

When restructuring is considered rather than formal insolvency proceedings (see Practice Note: Benefits of restructuring over formal proceedings) the company may want to ensure that relevant creditors quickly enter a standstill agreement to gain some breathing space to consider a restructuring

LEXISNEXIS

Double insurance and contribution

Overlapping insurance policesThere are various reasons why an insured may end up with overlapping insurance cover, whether deliberately or otherwise.Examples include the situation where the insured takes the benefit of other insurance arranged by another party or where, in the commercial world, risk

LEXISNEXIS

What is a certificate of title?

A certificate of title (also known as a certificate on title) is a particular species of report on title.When solicitors are instructed to investigate title to land (for instance, when land is being acquired or offered up as security), they will write a report on title for their client, which sets