Compliance plan

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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
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
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
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...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
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...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Compliance plan content

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...
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5th May
Precedents
This presentation has been designed as a training aid that you can use to introduce your staff to the SRA Standards and Regulations and the maze of...
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29th Mar
Precedents
1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of...
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14th Feb
Precedents
1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of...
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14th Feb
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...
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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...
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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...
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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...
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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...
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7th Dec
Precedents

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

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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...
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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...
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7th Dec
Precedents
A: General informationDate of annual reviewPerson(s) conducting annual reviewB: Review and findingsDoes your written Compliance plan accurately...
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26th Sep

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