AML & counter-terrorist financing

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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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Practice notes
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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
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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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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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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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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
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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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Practice notes
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Practice notes
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Most recent AML & counter-terrorist financing content

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
AML training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course...
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15th Aug
Precedents
Internal suspicious activity report—SAR—formThis internal suspicious activity report (SAR) form is intended to make the process of submitting SARs to...
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15th Aug
Precedents
Internal suspicious activity report—investigation record1General detailsInternal SAR reference number[Insert internal SAR reference...
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15th Aug
Precedents
Suspicious activity report registerThis Precedent Suspicious activity report register can help you keep comprehensive records of internal...
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15th Aug
Precedents
High-risk ongoing monitoring form1GeneralDate[Insert date]Name and job title of person completing this form[Insert name][Insert job title][Customer OR...
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15th Aug
Precedents
Establishing the source of funds and source of wealth—guidance table for staffThis table ties together source of funds and source of wealth...
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15th Aug
Precedents
Politically exposed person—PEP—central listThis Precedent Politically exposed person—PEP—central list allows you to keep a central record of PEP...
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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
AML and counter-terrorist financing cheat sheet—for staffWhat is money laundering?Money laundering is the process through which the proceeds of crime...
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15th Aug
Precedents
Money Laundering Regulations 2017—third party reliance registerThird party reliance register.This Precedent Third party reliance register can be used...
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15th Aug
Precedents
CDD beneficial ownership discrepancy report form1Instructions on completing this formIf during the course of completing CDD checks you discover a...
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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
Precedents
Crime prevention quarterly monitoring record1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting...
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15th Aug
Precedents
Independent audit register—MLR 2017This Precedent Independent audit register can be used to maintain a record of independent audits undertaken by an...
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15th Aug
Practice notes
CDD requirements and resources for companies in the United States of AmericaThis Practice Note is a one-stop shop for customer/client due diligence...
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15th Aug
Practice notes
AML and counter-terrorist financing—politically exposed persons—PEPsIndividuals who have, or have had, a high political profile, or hold, or have...
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15th Aug
Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
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15th Aug

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