Compliance and ethics

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

Most recent Compliance and ethics content

Precedents
From [insert name], [insert job title]The General Data Protection Regulation, known as the GDPR, applies to us from 25 May 2018. It replaces and...
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2nd Dec
Precedents
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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2nd Dec
Precedents
How to use this testThese questions are designed to test your understanding following your attendance at our training on financial sanctions.After you...
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2nd Dec
Precedents
QuestionCorrect answer1. Financial sanctions are restrictions on activity, but in relation to what?(d) All of the above2. The UK law on financial...
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2nd Dec
Precedents
Please click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course name/descriptio...
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30th Nov
Precedents
International trade and financial sanctions laws impose restrictions on our ability to do business with certain individuals and entities, as well as...
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30th Nov
Precedents
What are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a change in the behaviour of a...
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30th Nov
Precedents
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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29th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
Read More >
29th Nov
Precedents
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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29th Nov
Precedents
1Consent to terms and conditions—not data processing consent[Insert Terms and conditions you are seeking consent for, eg your T&Cs in relation to the...
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20th Nov
Precedents
Date: [insert date]1IntroductionAs our [insert appropriate term, eg senior management team or board], it is important for you to understand how data...
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19th Nov
Precedents
Date: [insert date]From [insert name], [insert job title]Dear Colleagues,You should already be aware of the General Data Protection Regulation (GDPR),...
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19th Nov
Precedents
Date: [insert date]1IntroductionAs our [insert appropriate term, eg senior management team or board], it is important for you to understand how data...
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19th Nov
Precedents
Knowing our industry and competitors is beneficial to business success, but the risk of encountering a competition law issue when conducting this sort...
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16th Nov
Precedents
These FAQs are intended as a quick reference point for staff who come into contact with competitors on how we can best achieve our business goals in a...
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16th Nov
Precedents
This Precedent presentation has been designed as a training aid that you can use to introduce your staff to dawn raids and their responsibilities...
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16th Nov
Practice notes
Ethics and business ethicsEthics are the moral principles guiding our behaviour and judgments, helping us to determine what's right and wrong.Ethics...
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6th Nov
Precedents
Contact with competitors, negotiations with customers or gathering market intelligence can pose a high risk of competition law compliance issues...
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5th Nov
Precedents
This Precedent presentation has been designed as an aid to train your staff on the general principles of data and information protection and how to...
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4th Nov

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