Independent audit

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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
Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
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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
The UK Government has legislated to permit a number of UK authorities to obtain search warrants to 'raid' a business premises. The potential for a...
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Produced in partnership with Michael Potts of Byrne and Partners LLP 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
Practice notes
You may apply simplified customer due diligence (SDD) measures in relation to particular business relationships or transactions which you determine...
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9th Nov

Most recent Independent audit content

Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 introduced a...
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9th Apr
Precedents
This register of non-compliance and corrective actions can be used by the independent audit function to log specific incidences of non-compliance...
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14th Feb
Precedents
1Establishment of independent audit functionThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations...
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5th Feb
Precedents
1General informationPerson(s) conducting audit[Insert names of applicable members of independent audit team]Dates of auditFrom [insert date] to...
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5th Feb
Precedents
1Preparing for the auditThis section sets out a checklist of issues to be addressed pre-audit.ActionCompletedComments/action pointsObtain copy of...
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21st Jan
Precedents
This schedule of recommendations can be used by the independent audit function to set out its recommendations following audit of the organisation’s...
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7th Dec

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