AML & counter-terrorist financing

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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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 AML & counter-terrorist financing content

Q&As
Does the obligation to report a discrepancy about a beneficial owner on the person with significant control register by an obliged entity extend to...
Read More >
15th Aug
Q&As
Do we have to conduct client due diligence on all shareholders of corporate clients?Client due diligence (CDD) entails:•identifying the...
Read More >
15th Aug
Practice notes
CDD resources for overseas companiesThis Practice Note is a one-stop shop overseas customer/client due diligence (CDD) resource that saves time and...
Read More >
15th Aug
Practice notes
Application of legal professional privilege—LPP—and privileged circumstancesThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML...
Read More >
15th Aug
Q&As
Given that we cannot rely solely on the PSC registers maintained at Companies House for CDD purposes, what else, in practical terms, can we use to...
Read More >
15th Aug
Practice notes
Fifth Money Laundering Directive—what’s changed? [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.The Fourth Money...
Read More >
13th Aug
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 >
13th Aug
Practice notes
Money Laundering Regulations 2017—scope and applicationThis Practice Note sets out the scope and application of the Money Laundering, Terrorist...
Read More >
13th 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)...
Read More >
13th Aug
Practice notes
Money Laundering Regulations 2017—relianceThis Practice Note reflects the requirements of the Money Laundering, Terrorist Financing and Transfer of...
Read More >
13th Aug
Practice notes
Money Laundering Regulations 2017—staff training and awarenessThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the...
Read More >
13th Aug
Practice notes
Regulation of anti-money laundering and counter-terrorist financing—table of relevant authoritiesThis Practice Note provides a quick reference guide...
Read More >
13th Aug
Practice notes
Money Laundering Regulations 2017—CDD and beneficial ownershipThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the...
Read More >
13th Aug
Practice notes
Reporting suspicions of money launderingThis document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It...
Read More >
13th Aug
Practice notes
SARs and confidentialityIssues of confidentiality arise in two different respects in terms of suspicious activity reports (SARs):•your professional or...
Read More >
13th Aug
Practice notes
Money laundering compliance officerThis Practice Note is intended for commercial organisations that are subject to the Money Laundering, Terrorist...
Read More >
13th Aug
Practice notes
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—a summaryThe Money Laundering, Terrorist...
Read More >
13th Aug
Practice notes
Money Laundering Regulations 2017—enforcement, offences and penaltiesThis Practice Note explains the offences, penalties and enforcement provisions...
Read More >
13th Aug
Practice notes
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
Read More >
13th 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

Popular documents