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Latest Practice Compliance News

Financial and trade sanctions—tracking UK-EU divergence

Financial and trade sanctions—tracking UK-EU divergence

The following Banking & Finance news provides comprehensive and up to date legal information on Financial and trade sanctions—tracking UK-EU divergence

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

60 UK law firms shut in 2020 by rising insurance costs

60 UK law firms shut in 2020 by rising insurance costs

The following Insurance & Reinsurance news provides comprehensive and up to date legal information on 60 UK law firms shut in 2020 by rising insurance costs

Work on UK standard contractual clauses under way, ICO official says

Work on UK standard contractual clauses under way, ICO official says

The following Commercial news provides comprehensive and up to date legal information on Work on UK standard contractual clauses under way, ICO official says

Featured Practice Compliance content

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

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

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...

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

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...

Introduction to retained EU law

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...

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
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

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...
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9th Nov
tag iconIn-house
Practice notes

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...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes

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...
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9th Nov
Practice notes

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...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Compliance plan content

Practice notes

Compliance plan 2019—law firms

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

Training materials—an introduction to compliance 2019—law firms

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

Compliance plan 2011 [Archived]

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

Compliance plan—law firms—2019

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

Message to staff from CEO/senior partner about the SRA Standards and Regulations—law firms

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

An introduction to compliance 2019—law firms—post-training assessment answers

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

An introduction to compliance 2019—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 an introduction to...
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7th Dec
Precedents

Compliance calendar—long form—law firms

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

Compliance calendar—short form—law firms

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

Register of compliance reviews

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

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7th Dec
Precedents

Register of compliance policies—law firms

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

COLP or COFA monthly compliance monitoring record

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

Compliance plan—annual review

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

Popular documents

Law of the arbitration proceedings—curial law or lex arbitri (England and Wales)

Law of the arbitration proceedings—curial law or lex arbitri (England and Wales)

This Practice Note considers the law governing the procedural law of arbitration proceedings (the curial law or lex arbitri) and how it is determined under the law of England and Wales (England and English are used as convenient shorthand).The procedural law of the arbitral proceedingsThe procedural

Forming enforceable contracts—consideration

Forming enforceable contracts—consideration

This Practice Note examines the doctrine of consideration and the key role it plays in English law in determining whether a contract is enforceable.A promise will only be capable of being contractually enforced if it is either made in a deed or made in exchange for something of value, known as

Nuisance and the rule in Rylands v Fletcher—common law liability for pollution

Nuisance and the rule in Rylands v Fletcher—common law liability for pollution

Private nuisancePrivate nuisance is an unlawful interference with a person's use or enjoyment of land or some right over or in connection with it. Interference must be unreasonable, and may be caused, eg by water, smoke, smell, fumes, gas, noise, heat or vibrations. Where the defendant has not

CE-File—electronic filing and case management in the Rolls Building and other courts

CE-File—electronic filing and case management in the Rolls Building and other courts

This Practice Note looks at CE-File electronic working in the courts under CPR PD 51O, in the context of case management. It provides guidance on how to file a document electronically, deal with rejected electronic filings, issue a claim electronically, file electronic bundles (eBundles) for case