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Latest Practice Compliance News

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

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

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

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

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 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...

19th May

In-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...

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...

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...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

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,...

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...

19th May

In-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)...

19th May

In-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...

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...

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...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

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...

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...

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...

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...

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...

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...

19th May

Brexit

Most recent Risk content

Practice notes

Drafting for unforeseen events—commercial contracts

Drafting for unforeseen events—commercial contractsThis Practice Note provides practical guidance for general commercial practitioners on points to...

30th Jul

COVID-19

Precedents

SRA Accounts Rules breach register—COFA—law firms

SRA Accounts Rules breach register—COFA—law firmsPlease click for an Excel version of this register.This Precedent SRA Accounts Rules breach register...

30th Jul

Practice notes

Coronavirus (COVID-19)—managing the workplace from 19 July 2021

Coronavirus (COVID-19)—managing the workplace from 19 July 2021This Practice Note reflects the position under Step 4 of the roadmap out of lockdown...

29th Jul

Practice notes

Coronavirus (COVID-19)—testing and vaccination issues for employers

Coronavirus (COVID-19)—testing and vaccination issues for employersSTOP PRESS (22/7/21): Provisions have been made to amend the Health Protection...

29th Jul

COVID-19

Precedents

Message to staff on the importance of cybersecurity in a pandemic situation (eg coronavirus (COVID-19))

Message to staff on the importance of cybersecurity in a pandemic situation (eg coronavirus (COVID-19))The issueUnfortunately, during a pandemic...

26th Jul

COVID-19

Practice notes

Pandemic management—information and cybersecurity—challenges and practical responses

Pandemic management—information and cybersecurity—challenges and practical responsesPandemics are exceptional events which present organisations with...

26th Jul

Precedents

COVID-19 risk assessment—worked example

COVID-19 risk assessment—worked example1. Risk assessment detailsCompany name[Insert name]Type of workplace/premises[Insert, eg Open-plan office...

26th Jul

Precedents

Pandemic action plan

Pandemic action plan1Pandemic management team and strategyAction pointOwnerStatus and commentsIdentify a person to lead the Pandemic management team...

26th Jul

Precedents

Pandemic management strategy

Pandemic management strategy1Introduction1.1According to the World Health Organisation (WHO), a pandemic is the worldwide spread of a new disease. A...

26th Jul

Practice notes

Coronavirus (COVID-19)—employment data protection issues

Coronavirus (COVID-19)—employment data protection issuesFrom IP completion day (11pm on 31 December 2020), Regulation (EU) 2016/679, General Data...

23rd Jul

COVID-19

Precedents

Policy—Coronavirus (COVID-19) workplace safety

Policy—Coronavirus (COVID-19) workplace safetyUPDATE (15/7/21): The Department for Business, Energy and Industrial Strategy (BEIS) published Working...

23rd Jul

COVID-19

Precedents

Coronavirus (COVID-19) safety—policy schedule—offices and contact centres

Coronavirus (COVID-19) safety—policy schedule—offices and contact centresUPDATE (15/7/21): The Department for Business, Energy and Industrial Strategy...

23rd Jul

COVID-19

Precedents

Policy—Coronavirus (COVID-19) testing

Policy—Coronavirus (COVID-19) testing1Introduction1.1This policy sets out the Company’s approach to testing staff for coronavirus (COVID-19). It...

23rd Jul

Practice notes

Coronavirus (COVID-19)—safe working in an office environment before 19 July 2021 [Archived]

Coronavirus (COVID-19)—safe working in an office environment before 19 July 2021 [Archived]ARCHIVED: This Practice Note has been archived and is not...

Produced in partnership with Melanie O'Brien of DG Legal 23rd Jul

COVID-19

Practice notes

Compliance plan 2019—law firms

Compliance plan 2019—law firmsThis Practice Note explains whether law firms should have a compliance plan and, if so, what you may wish to include. It...

23rd Jul

Practice notes

Handling complaints during the coronavirus (COVID-19) epidemic—law firms

Handling complaints during the coronavirus (COVID-19) epidemic—law firmsThe Legal Ombudsman (LeO) has published guidance for legal service providers,...

23rd Jul

COVID-19

Practice notes

Collecting customer data for contact tracing

Collecting customer data for contact tracingThis Practice Note provides practical guidance on collecting customer data in support of the NHS Test and...

22nd Jul

Practice notes

Avoiding negligence in litigation

Avoiding negligence in litigationProfessional negligence claims against solicitors have become more common in recent years. This is due to a...

Produced in partnership with Jemma Brimblecombe of Kingsley Napley 22nd Jul

Q&As

What risk management measures should I be taking now to help my business prepare for a possible coronavirus (COVID-19) second wave?

What risk management measures should I be taking now to help my business prepare for a possible coronavirus (COVID-19) second wave?As the numbers of...

21st Jul

Precedents

Coronavirus (COVID-19) workplace outbreak management plan—offices

Coronavirus (COVID-19) workplace outbreak management plan—offices1IntroductionThis coronavirus (COVID-19) workplace outbreak management plan records...

21st Jul

COVID-19

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Risk

View Practice Compliance by content type:

Latest Practice Compliance News

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

Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

SRA Code of Conduct for individuals and firms

Conflicts of interest 2019

Legal Services Board

Most recent Risk content

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Judicial review—time limits and the pre-action protocol

Standard Commercial Property Conditions (Third Edition—2018 Revision)

Issue of redeemable shares

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