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Latest Risk & Compliance News

A dose of reality? Requiring employees to be vaccinated

A dose of reality? Requiring employees to be vaccinated

The following Employment news provides comprehensive and up to date legal information on A dose of reality? Requiring employees to be vaccinated

Risk & Compliance weekly highlights—21 January 2021

Risk & Compliance weekly highlights—21 January 2021

The following Risk & Compliance news provides comprehensive and up to date legal information on Risk & Compliance weekly highlights—21 January 2021

Law must change to go after companies allowing financial crime, MPs urge

Law must change to go after companies allowing financial crime, MPs urge

The following Corporate Crime news provides comprehensive and up to date legal information on Law must change to go after companies allowing financial crime, MPs urge

BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

The following Employment news provides comprehensive and up to date legal information on BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

Featured Risk & Compliance content

Money Laundering Regulations 2017—simplified due diligence

Money Laundering Regulations 2017—simplified due diligence

You may apply simplified customer due diligence (SDD) measures in relation to particular business relationships or transactions which you determine...

Facilitation payments under the Bribery Act 2010

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

What is a solicitor's undertaking?

What is a solicitor's undertaking?

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...

Dawn raid—who can raid my organisation and why?

Dawn raid—who can raid my organisation and why?

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...

Practice notes

Active bribery, passive bribery and bribing foreign public officials

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

High-risk third countries tracker

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
tag iconIn-house
Practice notes

Getting the Deal Through: Merger Control 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
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9th Nov
Precedents

Modern slavery: contract clauses

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
tag iconIn-house
Practice notes

AML and counter-terrorist financing—source of funds

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
tag iconIn-house
Practice notes

Introduction to retained EU law

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
tag iconBrexit
Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

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

Money Laundering Regulations 2017—nominated officer

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
tag iconIn-house

Most recent Staff training & awareness content

Precedents

Training materials—AML and counter-terrorist financing

This presentation has been designed as an aid to train your staff on anti-money laundering and counter-terrorist financing. This presentation is of...
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21st Jan
Precedents

Recognising crime—warning signs for staff

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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17th Dec
Q&As

What money laundering and terrorist financing red flags do I need to look out for in a transaction or matter involving virtual assets?

This Q&A describes red flag indicators for matters involving virtual assets, as set out in the Financial Action Task Force (FATF) report ‘Virtual...
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7th Dec
Precedents

AML and counter-terrorist financing cheat sheet—for staff

What is money laundering?Money laundering is the process through which the proceeds of crime and their true origin and ownership are changed so that...
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7th Dec
Precedents

AML training record

Please click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course name/description[Insert...
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7th Dec
Precedents

Mini training aid—AML—CDD—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at the mini training session on AML—customer due...
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6th Dec
Precedents

Mini training aid—AML—CDD—post-training assessment answers

QuestionAnswers1. Which of these is not part of our customer due diligence (CDD) process?(b) Sending the customer our anti-money laundering and...
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6th Dec
Precedents

AML and terrorist financing training materials—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at training on anti-money laundering and...
Read More >
6th Dec
Precedents

Mini training aid—AML—reporting suspicions—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at the mini training session anti-money laundering...
Read More >
6th Dec
Precedents

Mini training aid—AML—the law and red flags—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at the mini training session on anti-money...
Read More >
6th Dec
Precedents

Mini training aid—AML—reporting suspicions

The training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded to Word from this...
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6th Dec
Precedents

Mini training aid—AML—CDD

The training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded to Word from this...
Read More >
6th Dec
Precedents

Mini training aid—AML—law and red flags

The training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded to Word from this...
Read More >
6th Dec
Precedents

Mini training aid—AML—reporting suspicions—post-training assessment answers

QuestionAnswers1. Which Act(s) create(s) obligations to report knowledge or suspicions of money laundering and terrorist financing?(c) Both (a) and...
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6th Dec
Precedents

AML and terrorist financing training materials—post-training assessment answers

The law and red flagsCircle the correct answer.QuestionMultiple choice answers1. What is money laundering?(a) The process through which proceeds of...
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6th Dec
Precedents

Mini training aid—AML—funds—post-training assessment answers

QuestionAnswer1. What is money laundering?(a) The process through which proceeds of crime and their true origin and ownership are changed so that the...
Read More >
6th Dec
Precedents

Mini training aid—AML—funds

The training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded to Word from this...
Read More >
6th Dec
Precedents

Mini training aid—AML—the law and red flags—post-training assessment answers

QuestionAnswers1. What is money laundering?(a) The process through which proceeds of crime and their true origin and ownership are changed so that the...
Read More >
6th Dec
Precedents

Mini training aid—AML—funds—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at training on AML and counter-terrorist financing...
Read More >
6th Dec
Practice notes

Money Laundering Regulations 2017—staff training and awareness

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended by the...
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6th Dec

Popular documents

LEXISNEXIS

Causation and intervening acts in criminal cases

Criminal offences are generally divided into two categories: •conduct crimes, and •result crimesA conduct crime is a crime where only the forbidden conduct needs to be proved. For example, an accused is guilty of dangerous driving if they drove a motor vehicle dangerously on a road or other public

LEXISNEXIS

The pari passu principle and collection remedies for the office-holder—the position under the Insolvency (England and Wales) Rules 2016

The primary function of office-holders in personal and corporate insolvency is to collect in the assets belonging to a company or individual and to distribute these to the company's or individual's creditors. Office-holders have various duties and powers in order to ensure that they do this. For

LEXISNEXIS

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive disclosures under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) or Part III of the Terrorism Act 2000 (TA 2000)—see Requirement to appoint a

LEXISNEXIS

Compulsory winding up of a company—the process and procedure

STOP PRESS: The Corporate Insolvency and Governance Act 2020 contains provisions which, on a temporary basis (presently until 31 December 2020) impose significant limitations on the ability for a creditor to seek a winding-up order against a company. For further reading, see Practice Note: Corporate