Compliance breaches

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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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9th Nov
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 Nov
Practice notes
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
Precedents
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
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
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 Compliance breaches content

Practice notes
The COLP must take all reasonable steps to ensure compliance with:•the SRA Handbook, except the SRA Accounts Rules•other general regulatory...
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27th Sep
Practice notes
Legal professional privilege (LPP) protects documents from disclosure to third parties including government agencies, regulators and claimants in...
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26th Sep
Precedents
This Precedent presentation is intended for law firms. It has been designed as an aid to train your staff on breach reporting obligations under the...
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26th Sep
Precedents
1Introduction1.1This document sets out our policy for dealing with breaches of regulatory requirements that apply to our firm. Some of these...
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26th Sep
Precedents
A: General informationDate of monitoring review[insert date of monitoring review]Person conducting monitoring reviewB: Consolidated dataCriteriaOver...
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26th Sep
Precedents
A: General informationDate of monitoring review[insert date of monitoring review]Person conducting monitoring review[insert name]B: Consolidated...
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26th Sep
Precedents
1A: Background informationName of person completing this record[Insert name]Compliance breach reference number[To be completed by person conducting...
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26th Sep
Practice notes
The Solicitors Regulation Authority (SRA) has a published enforcement strategy setting out its approach to enforcement, assessing the seriousness of...
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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
Please click for an Excel version of this register.This Precedent compliance breach register is intended for use by a compliance officer for legal...
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26th Sep
Precedents
1Introduction1.1This document sets out our policy for dealing with breaches of regulatory requirements that apply to our business. Some of these...
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26th Sep
Precedents
Dear [insert name]I write with notification that this firm has identified a compliance breach on [insert date compliance breach identified] which we...
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26th Sep
Precedents
Please click for an Excel version of this register.This Precedent SRA Accounts Rules breach register is intended for use by a compliance officer for...
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26th Sep
Precedents
This form should be used by staff to report a suspected compliance breach to the firm’s COLP or COFA.All staff must promptly report any facts or...
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26th Sep
Practice notes
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to compliance officers (COLPs and COFAs) and breach...
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25th Sep

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