Systems & controls

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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...
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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)...
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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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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...
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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...
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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...
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19th May

Most recent Systems & controls content

Precedents
Money laundering or terrorist financing incident—panic sheet1. Money laundering incident management teamYou need to be able to show you’ve taken a...
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22nd Aug
Precedents
AML and counter-terrorist financing policy1Introduction to the policy1.1[Organisation name] is required to put in place appropriate systems and...
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22nd Aug
Practice notes
Money Laundering Regulations 2017—group level policies, controls and proceduresThe Money Laundering, Terrorist Financing and Transfer of Funds...
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20th Aug
Practice notes
Criminal records—asking questions and DBS checksThis Practice Note considers the extent to which employers can ask questions of a prospective employee...
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17th Aug
Precedents
Memo to board accompanying AML and counter-terrorist financing policyDate: [insert date]IntroductionIn the UK the law on money laundering and...
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15th Aug
Precedents
Register of AML and CTF policies, plans and proceduresThis Precedent Register of AML and CTF policies, plans and procedures can be used to help you...
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15th Aug
Precedents
Message from CEO/Senior Member/Senior Partner reinforcing the AML and counter-terrorist financing policySTOP PRESS: Draft Legal Sector Affinity Group...
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15th Aug
Precedents
AML and counter-terrorist financing compliance declarationMoney laundering is the process through which the true origin and ownership of the proceeds...
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15th Aug
Precedents
Cash policy1Large payments made in cash may be a sign of money laundering or terrorist financing.2You must not accept any funds (cash or otherwise)...
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15th Aug
Practice notes
AML and data protectionThis document reflects the UK GDPR regime. References and links to the GDPR refer to the UK GDPR (Retained Regulation (EU)...
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13th Aug
Practice notes
Money Laundering Regulations 2017—record keepingThis Practice Note explains the regulatory requirements relating to anti-money laundering (AML) and...
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13th Aug
Practice notes
Money Laundering Regulations 2017—screening employeesThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on...
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13th Aug
Practice notes
Money Laundering Regulations 2017—systems and controls requirementsThis Practice Note explains the regulatory requirement to implement systems and...
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13th Aug
Practice notes
Pre-employment checksThis Practice Notes summarises the pre-employment checks that a prospective employer should consider, and the main issues...
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11th Aug
Precedents
AML and counter-terrorist financing compliance declaration registerYou should ask staff to sign a declaration confirming they have read, received and...
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31st Jul
Precedents
Message from CEO/Senior Member/Senior Partner on updates to AML and counter-terrorist financing policyDate: [insert date]From [insert name], [insert...
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31st Jul

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