Compliance plan

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Practice notes
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...
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19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
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,...
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19th May
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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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes
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...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Compliance plan content

Precedents
An introduction to compliance 2019—law firms—post-training assessment questionsHow to use this testThese questions are designed to test your...
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15th Aug
Precedents
Message to staff from CEO/senior partner about the SRA Standards and Regulations—law firmsThe SRA Standards and Regulations in force from 25 NovemberI...
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15th Aug
Precedents
Compliance plan—annual reviewA: General informationDate of annual reviewPerson(s) conducting annual reviewB: Review and findingsDoes your written...
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15th Aug
Precedents
Compliance plan 2011 [Archived]1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to...
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15th Aug
Precedents
Compliance plan—law firms—20191Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to...
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15th Aug
Precedents
An introduction to compliance 2019—law firms—post-training assessment answersQuestionCorrect answer1. As a SRA-regulated law firm, what do we have to...
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15th Aug
Practice notes
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...
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31st Jul
Precedents
Register of compliance policies—law firmsThis Precedent is an optional Appendix to Precedent: Compliance plan—law firms—2019. It acts as a central...
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31st Jul
Precedents
Training materials—an introduction to compliance 2019—law firmsThis presentation has been designed as a training aid that you can use to introduce...
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31st Jul
Precedents
Register of compliance reviewsOur precedent: allows you to keep a central record, for each area of compliance, of when you last conducted routine...
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31st Jul
Precedents
Compliance calendar—long form—law firmsThe is presented in a spreadsheet as a yearly planner. The calendar has been populated with sample activities...
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30th Jul
Precedents
Compliance calendar—short form—law firmsThe is presented in an Excel spreadsheet as a yearly planner.In an ideal world, you would review every area...
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30th Jul
Precedents
COLP or COFA monthly compliance monitoring recordIt is not realistic to monitor every area of compliance every month. We take a risk-based approach by...
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30th Jul

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