Independent audit

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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
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
Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
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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
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
Practice notes
This Practice Note sets out when organisations must appoint a nominated officer, the duties of the nominated officer and practical steps nominated...
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9th Nov

Most recent Independent audit content

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
Practice notes
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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15th Jan
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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7th Dec
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
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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6th Dec
Precedents
1Establishment of independent audit functionThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations...
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6th Dec

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