Whistleblowing—law firms

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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
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
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
Practice notes
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
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
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 Whistleblowing—law firms content

Practice notes
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...
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5th May
Practice notes
This Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment Rights Act 1996 (ERA 1996). It is...
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5th May
Practice notes
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to compliance officers (COLPs and COFAs) and breach...
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5th May
Precedents
UPDATE: This Precedent does not take into account special requirements that apply to relevant firms (UK deposit-takers with assets of £250m or...
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27th Apr
Precedents
1General informationDate of review[Insert date]Person conducting review[Insert name]2DataCriteriaOver the last 12 monthsNumber of whistleblowing...
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7th Dec
Precedents
This presentation has been designed as an aid to train your staff on your whistleblowing policy and procedures.The training materials are...
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7th Dec
Precedents
Reports under the Whistleblowing policy can be made orally or in writing and they may be made anonymously or include the reporter’s identity.To make a...
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7th Dec
Precedents
This Precedent is a tool to maintain records of reports made under the Whistleblowing policy.It is provided in Excel format and therefore cannot be...
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6th Dec

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