Monitoring & review

View Risk & Compliance by content type:

Latest Risk & Compliance News

Featured Risk & Compliance content

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...
Read More >
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...
Read More >
9th Nov
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
9th Nov

Most recent Monitoring & review content

Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 require...
Read More >
15th Jan
Precedents
This Precedent Register of AML and CTF policies, plans and procedures can be used to help you comply with Regulation 19(1) of the Money Laundering,...
Read More >
14th Jan
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
Read More >
7th Dec
Precedents
1General informationDate of this report[Insert date]Date of last report[Insert date]Name of person submitting report[Insert name]2Action points...
Read More >
6th Dec
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
Read More >
6th Dec

Popular documents