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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Precedents
Mini training aid—AML—law and red flagsThe training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot...
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1st Aug
Precedents
Mini training aid—AML—CDDThe training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded...
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1st Aug
Precedents
Register of superSAR requests and responsesThis Precedent Register of superSAR requests and responses can be used to keep a record of your superSAR...
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31st Jul
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...
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31st Jul
Practice notes
Challenges names from different cultures can present in the CDD processThis Practice Note details the challenges that names from different cultures...
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31st Jul
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
Precedents
Table of high-risk third countriesUp to date as at [insert date]The Financial Action Task Force (FATF), and the UK government consider the countries...
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31st Jul
Precedents
Source of funds/wealth statementWe are required under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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31st Jul
Precedents
Money Laundering Regulations 2017—independent audit schedule of recommendationsThis schedule of recommendations can be used by the independent audit...
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31st Jul
Precedents
CDD beneficial ownership information discrepancy report form registerThis Precedent CDD beneficial ownership information discrepancy report form...
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30th Jul
Precedents
Money Laundering Regulations 2017—register of non-compliance and corrective actionsThis register of non-compliance and corrective actions can be used...
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30th Jul

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