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Risk management

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Latest Practice Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Practice Compliance weekly highlights—29 July 2021

Practice Compliance weekly highlights—29 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

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...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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
tag iconIn-house
Practice notes

The Information Commissioner’s Office (ICO)

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]

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]

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
tag iconBrexit
Practice notes

SRA Accounts Rules 2019

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

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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19th May
tag iconIn-house
Practice notes

High-risk third countries tracker

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
tag iconIn-house
Practice notes

Active bribery, passive bribery and bribing foreign public officials

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

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

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 law

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
tag iconBrexit
Practice notes

Safeguards and information barriers

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 2019

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 2019

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
Practice notes

SRA Handbook 2011 [Archived]

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
Precedents

Financial sanctions policy

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

Working with European lawyers—the Registered European Lawyer (REL) regime

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
tag iconBrexit

Most recent Risk management content

Practice notes

Identifying and evaluating risk across the business

Identifying and evaluating risk across the businessLawyers generally have a reputation among business people for being risk averse. In-house lawyers...
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1st Aug
Precedents

Risk register

Risk registerPlease click for the Precedent risk register.Please note that this register has been prepared in Excel and it therefore cannot be...
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31st Jul
Q&As

It's the holiday season, how can I ensure compliance with risk management requirements when using locums?

It's the holiday season, how can I ensure compliance with risk management requirements when using locums?From time-to-time (particularly during the...
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31st Jul
Practice notes

Coronavirus (COVID-19)—guidance for law firms [Archived]

Coronavirus (COVID-19)—guidance for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note...
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31st Jul
tag iconCOVID-19
Practice notes

Formulating a risk management policy

Formulating a risk management policyA risk management policy outlines the risks posed to a business and provides a set of actions to be taken to both...
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31st Jul
Practice notes

Protecting your practice—an introduction to law firm risk management

Protecting your practice—an introduction to law firm risk managementRisk management is a cornerstone of a firm's governance, culture and business...
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Produced in partnership with Pam Grover-Mitchell 31st Jul
Practice notes

The risk management policy—regulatory requirements

The risk management policy—regulatory requirementsThere is a widely accepted definition of risk, ie:Risk = probability x impactSo, for any given risk...
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31st Jul
Practice notes

Key risks—law firms

Key risks—law firmsOur practice note: Formulating a risk management policy sets out how you might do this. This practice note identifies some common...
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31st Jul
Precedents

Risk management policy—annual review

Risk management policy—annual reviewA: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your risk management...
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31st Jul
Precedents

Risk management training aid—post-training assessment questions

Risk management training aid—post-training assessment questionsHow to use this testThese questions are designed to test your understanding after your...
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31st Jul
Precedents

Risk management training aid—post-training assessment answers

Risk management training aid—post-training assessment answersQuestionCorrect answer1. What is a risk? (c) The possibility of an adverse/unwelcome...
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31st Jul
Precedents

Risk management policy—law firms

Risk management policy—law firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
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31st Jul
Precedents

Training materials—risk management

Training materials—risk managementThe purpose of our presentation is to train your staff on your risk management policy and to communicate risk...
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30th Jul
Precedents

Risk data—annual review

Risk data—annual review1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert...
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30th Jul
Precedents

Risk register—annual review

Risk register—annual reviewA: General informationDate of review[insert date]Person(s) conducting review[insert name]B: Review and findingsIs your Risk...
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30th Jul
tag iconIn-house
Precedents

Risk manager role profile

Risk manager role profileName of firmName of role holderReports toRole type☐ Full-time☐ Part-time☐ ContractorIf a contractor role, length of...
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Produced in partnership with Pam Grover-Mitchell 30th Jul
Practice notes

Formulating a risk register

Formulating a risk registerManaging risk is not a one-off event, it is an ongoing process, as illustrated below:This Practice Note provides guidance...
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6th Jun
Precedents

Internal risk report form

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)

Risk scorecard (matrix)Probability ratingScoreLikelihood of risk materialisingBenchmark1Very lowOnly expected to occur in exceptional circumstances[Up...
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19th Mar
Precedents

Risk questionnaire

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

Popular documents

Direct effect of EU law

Direct effect of EU law

Direct effect of EU lawWhat is direct effect of EU law?The doctrine of direct effect is a fundamental principle of EU law developed by the Court of Justice of the European Union in Van Gend en Loos. It is a mechanism through which individuals can enforce rights in Member States’ courts, based on EU

Convention rights—structure of qualified rights

Convention rights—structure of qualified rights

Convention rights—structure of qualified rightsThe rights preserved under the European Convention on Human Rights (ECHR), as set out in the Human Rights Act 1998 Sch 1, can be broadly divided into three groups:•absolute rights—which cannot be interfered with by the state or derogated from even in a

Forming enforceable contracts—consideration

Forming enforceable contracts—consideration

Forming enforceable contracts—considerationThis 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

Involuntary manslaughter

Involuntary manslaughter

Involuntary manslaughterInvoluntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element—hence the label voluntary manslaughter) but