Independent audit

View Risk & Compliance by content type:

Latest Risk & Compliance News

Featured Risk & Compliance content

Practice notes
Dawn raid—who can raid my organisation and why?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation...
Read More >
Produced in partnership with Michael Potts of PCB Byrne 19th May
Practice notes
Conflicts of interest, confidentiality and disclosure 2019—in-house lawyersThe SRA Code of Conduct for Solicitors, RELs and RFLs (Code for Solicitors)...
Read More >
19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
Read More >
Produced in partnership with Adam Cygan of University of Leicester 19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
Read More >
19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
Read More >
Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Practice notes
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
Read More >
19th May
Practice notes
Proceeds of Crime Act 2002—key information for businessesThe Proceeds of Crime Act 2002 (POCA 2002) came into force on 24 February 2003. It applies to...
Read More >
19th May
Practice notes
Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...
Read More >
19th May
Practice notes
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
Read More >
19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
Read More >
19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Read More >
Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
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...
Read More >
19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
Read More >
19th May
Practice notes
Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...
Read More >
19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
Read More >
19th May

Most recent Independent audit content

Precedents
Money Laundering Regulations 2017—independent audit report1General informationPerson(s) conducting audit[Insert names of applicable members of...
Read More >
22nd Aug
Precedents
Money Laundering Regulations 2017—independent money laundering compliance audit plan1Preparing for the auditThis section sets out a checklist of...
Read More >
22nd Aug
Precedents
Money Laundering Regulations 2017—independent audit function role and responsibilities1Establishment of independent audit functionThe Money...
Read More >
22nd Aug
Precedents
Independent audit register—MLR 2017This Precedent Independent audit register can be used to maintain a record of independent audits undertaken by an...
Read More >
15th Aug
Practice notes
Money Laundering Regulations 2017—independent audit functionThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
13th Aug
Precedents
Money Laundering Regulations 2017—independent audit schedule of recommendationsThis schedule of recommendations can be used by the independent audit...
Read More >
31st Jul
Precedents
Money Laundering Regulations 2017—register of non-compliance and corrective actionsThis register of non-compliance and corrective actions can be used...
Read More >
30th Jul

Popular documents