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Latest Practice Compliance News

MP vows to keep pushing tougher economic crime law

MP vows to keep pushing tougher economic crime law

The following Corporate Crime news provides comprehensive and up to date legal information on MP vows to keep pushing tougher economic crime law

Practice Compliance weekly highlights—10 September 2020

Practice Compliance weekly highlights—10 September 2020

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—10 September 2020

Practice Compliance monthly highlights—September 2019

Practice Compliance monthly highlights—September 2019

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance monthly highlights—September 2019

Employer in Greece fined €150,000 for relying on consent to process data under GDPR

Employer in Greece fined €150,000 for relying on consent to process data under GDPR

The following Employment news provides comprehensive and up to date legal information on Employer in Greece fined €150,000 for relying on consent to process data under GDPR

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

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...

What is a solicitor's undertaking?

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...

Active bribery, passive bribery and bribing foreign public officials

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...

High-risk third countries tracker

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...

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

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
Practice notes

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...
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9th Nov
tag iconBrexit
Precedents

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...
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9th Nov
Precedents

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...
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9th Nov
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 firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Compliance plan content

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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7th Dec
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

Training materials—an introduction to compliance 2019—law firms

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...
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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 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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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
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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25th Sep

Popular documents

LEXISNEXIS

The Offshore Transmission Owner (OFTO) regime

What are OFTOs?Offshore Transmission Owners (OFTOs) are the owners of offshore transmission assets which connect offshore wind farms to the onshore electricity network. The transmission assets comprise everything between the offshore point of connection with the generating wind farm assets and the

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Fiduciary Duties

Who is a fiduciary?There is no comprehensive list of the relationships which give rise to the existence of fiduciary duties under common law. Some relationships are automatically fiduciary, eg those between trustee and beneficiary, solicitor and client, principal and agent, business partner and

LEXISNEXIS

Burden and standard of proof in criminal proceedings

There are two kinds of burden:•the legal burden, and•the evidential burdenThe legal burdenA party has the legal (sometimes called ‘the persuasive’) burden where the onus is on that party to prove a fact or issue in a case to the required standard of proof.The legal burden is generally on the

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Loan Market Association (LMA)—news on documentation [Archived]

This Practice Note is an archive of news from the Loan Market Association (LMA) on LMA documentation and related topics. It covers LMA updates from early 2013 to January 2016. For the latest LMA developments since January 2016, see Practice Note: Loan Market Association (LMA)—latest news on