About Risk & Compliance
Lexis+ Risk & Compliance is an online practical guidance product for in-house legal and compliance teams dealing with the ever-increasing and ever-shifting burden of risk and compliance.
Risk management guides
Each guide identifies five key priorities for the area of risk, and gives a heads-up on why each is a priority area. The priority is explained in further detail, with a series of mini-checklists and action points.
Competition & antitrust law compliance
Having a clear understanding of the nature of competition law compliance and the associated risks/challenges for businesses is the first step to setting effective compliance arrangements. We help organisations with this.
GDPR compliance
Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
Regulation
Helping in-house counsel, privacy and compliance professionals manage the regulatory burden. GDPR, BA, MLR and plenty more, we've got it covered.
Topics We Cover
Latest Risk & Compliance News
This week's edition of Risk & Compliance weekly highlights includes an ICO warning to businesses to prepare for incoming data complaints requirements...
The Department for Business and Trade (DBT) has issued two general trade licences permitting certain activities otherwise prohibited under the Russia...
The Information Commissioner's Office (ICO) has warned that businesses have one month remaining to implement data protection complaints processes...
The Office of Financial Sanctions Implementation (OFSI) has imposed a £165,000 monetary penalty on Deutsche Bank AG London Branch under section 146 of...
The Legal Ombudsman (LeO) has published six Public Interest Decisions (PIDs) relating to conveyancing and litigation matters where legal service...
Latest Risk & Compliance Practice Notes
ARCHIVED: This Practice Note has been archived and is not maintained. This Practice Note tracks news and analysis published across Lexis+® UK since 24...
ARCHIVED: This Practice Note has been archived and is not maintained. This Practice Note tracked news and analysis published across Lexis+® UK in 2023...
This Practice Note is intended for in-house lawyers and privacy and compliance professionals in private sector commercial organisations. It provides...
The Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018), create a UK...
This Practice Note provides a quick reference guide to some of the bodies that have anti-money laundering (AML), counter-terrorist financing (CTF) and...
Latest Risk & Compliance Precedents
PlanningNote 1The risk assessment should produce detailed recommendations for any required remediation of the organisation’s compliance program.See...
1Introduction1.1We have performed an organisation-wide assessment of the areas where we are most at risk of either offering or accepting bribes.1.2We...
1Background informationName and position of person(s) conducting assessment [Insert name]Date of assessment[Insert date]2Proposed processingDescribe...
1Assemble a bribery incident teamAssemble a bribery incident team, including your head of legal/compliance, nominated officer, risk manager,...
Defined terms: This precedent schedule uses the additional defined terms ‘Agreement’, ‘Business Day’, ‘Disclosing Party’, ‘parties’, ‘person’ and...
Latest Risk & Compliance Q&As
Featured Risk & Compliance content
Can I charge a fee for dealing with a data subject access request?
How to plan and conduct an internal investigation
How to plan and conduct an internal investigationAn internal investigation is a legal process undertaken by an organisation (with or without outside...
Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?
Anti-bribery and corruption—post-training assessment answers
Anti-bribery and corruption—post-training assessment answersQuestionCorrect answer1. How many new offences does the Bribery Act 2010 create? (b)...
Who can certify identification documents (passports, driving licences, utility bills, etc)?
Money Laundering Regulations 2017—scope and application
Money Laundering Regulations 2017—scope and applicationThis Practice Note sets out the scope and application of the Money Laundering, Terrorist...
Money Laundering Regulations 2017—nominated officer
Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
Sanctions regime—Russia
Sanctions regime—RussiaThe Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018...
How to manage legal risk
How to manage legal riskIt is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think...
Contract management risk management guide
Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
Competition law compliance—post-training assessment answers
Competition law compliance—post-training assessment answersQuestionCorrect answer1. Competition law protects business and consumers from...
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyers
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyersThis Practice Note provides guidance for in-house solicitors on the SRA Code of...
Anti-bribery and corruption—post-training assessment questions
Anti-bribery and corruption—post-training assessment questionsHow to use this testThese questions are designed to test your understanding after your...
How to create a legal risk register
How to create a legal risk registerThis Practice Note is intended for in-house lawyers. It explains how to create a legal risk register, a tool that...
Tipping-off and prejudicing an investigation
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
Confidentiality risk management guide
Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
Records retention schedule
Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businesses
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
Associated legal terms
Assessment period
From 6 April 2005, when an insolvency event occurs, the Board of the PPF will assess the scheme to determine whether the scheme should be brought into the PPF.
Defined benefit
Benefits calculated by reference to a fixed formula, irrespective of the contributions paid or in-vestment performance.
Lifetime allowance
The maximum aggregate amount of benefits an individual can accumulate across all registered pension schemes the individual is a member of without incurring tax penalties. Any excess gives rise to a tax charge known as the lifetime allowance charge.
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