Risk management

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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
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
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...
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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...
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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...
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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...
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9th Nov

Most recent Risk management content

Practice notes
Managing risk is not a one-off event, it is an ongoing process, as illustrated below:This Practice Note provides guidance on evaluating and recording...
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9th Apr
Practice notes
Lawyers generally have a reputation among business people for being risk averse. In-house lawyers cannot be excessively risk averse—they have to...
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9th Apr
Practice notes
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
Precedents
Please complete and email this form to the [[insert details of person nominated to receive risk reports]].If you wish to make an anonymous report, you...
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22nd Mar
Precedents
Risk scorecard (matrix)Probability ratingScoreLikelihood of risk materialisingBenchmark1Very lowOnly expected to occur in exceptional circumstances[Up...
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19th Mar
Precedents
The purpose of this questionnaire is to identify potential business risks. Please spend no more than [insert time eg 30 minutes] completing this form...
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19th Mar
Precedents
1GeneralDate of audit[Insert date of audit]Person completing audit[State name and position of person completing audit]2External risksComplete the...
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19th Mar
Precedents
1Overall risk appetite[Insert organisation name] has a [low OR medium OR high] risk appetite overall. [Insert organisation name] will act in...
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19th Mar
Practice notes
A risk management policy outlines the risks posed to a business and provides a set of actions to be taken to both prevent the risk from occurring and...
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19th Feb
Precedents
Please click for the Precedent risk register.Please note that this register has been prepared in Excel and it therefore cannot be downloaded to...
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19th Feb
Precedents
Name of firmName of role holderReports toRole type☐ Full-time☐ Part-time☐ ContractorIf a contractor role, length of contractPrimary locationDate role...
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Produced in partnership with Pam Grover-Mitchell 8th Jan
Practice notes
Risk management is a cornerstone of a firm's governance, culture and business strategy. It requires the application of principle to specific...
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Produced in partnership with Pam Grover-Mitchell 8th Jan
Q&As
From time-to-time (particularly during the current holiday season), large and/or busy departments need to engage locums to provide cover. Ensuring...
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7th Dec
Practice notes
Our practice note: Formulating a risk management policy sets out how you might do this. This practice note identifies some common risks facing law...
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7th Dec
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on our risk management procedures.After...
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7th Dec
Precedents
QuestionCorrect answer1. What is a risk? (c) The possibility of an adverse/unwelcome outcome2. How do we identify risk? (a) Using all available...
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7th Dec
Precedents
The purpose of our presentation is to train your staff on your risk management policy and to communicate risk information to staff.The training...
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7th Dec
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2ComplaintsNumber of...
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7th Dec
Precedents
A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your risk management policy and procedures up to date and fit...
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7th Dec
Precedents
A: General informationDate of review[insert date]Person(s) conducting review[insert name]B: Review and findingsIs your Risk register up to...
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7th Dec

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