Compliance plan

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

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 >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
9th Nov

Most recent Compliance plan content

Precedents
1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of...
Read More >
7th Dec
Precedents
The SRA Standards and Regulations in force from 25 NovemberI would like to remind you that the SRA Standards and Regulations are in force from 25...
Read More >
7th Dec
Precedents
QuestionCorrect answer1. As a SRA-regulated law firm, what do we have to comply with? (c) SRA Standards and Regulations and any other applicable...
Read More >
7th Dec
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on an introduction to...
Read More >
7th Dec
Precedents
The SRA Standards and Regulations are in force from 25 November 2019. This presentation has been designed as a training aid that you can use to...
Read More >
7th Dec
Precedents
The is presented in a spreadsheet as a yearly planner. The calendar has been populated with sample activities and sample intervals for completing...
Read More >
7th Dec
Precedents
The is presented in an Excel spreadsheet as a yearly planner.In an ideal world, you would review every area of compliance on a regular basis to make...
Read More >
7th Dec
Precedents

Our precedent: allows you to keep a central record, for each area of complian

Read More >
7th Dec
Precedents
This Precedent is an optional Appendix to Precedent: Compliance plan—law firms—2019. It acts as a central register of all your compliance policies and...
Read More >
7th Dec
Precedents
It is not realistic to monitor every area of compliance every month. We take a risk-based approach by monitoring different areas of compliance each...
Read More >
7th Dec
Precedents
1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of...
Read More >
7th Dec
Precedents
A: General informationDate of annual reviewPerson(s) conducting annual reviewB: Review and findingsDoes your written Compliance plan accurately...
Read More >
26th Sep
Practice notes
This Practice Note explains whether law firms should have a compliance plan and, if so, what you may wish to include. It reflects the SRA Standards...
Read More >
25th Sep

Popular documents