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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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 Compliance and ethics content

Precedents
Standard contractual clauses for international transfers—2004 (set II)—controller to controller—ICO templatesIn briefThis precedent links to: •a...
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25th Jul
Precedents
Standard contractual clauses for international transfers—2010—controller to processor—ICO templatesIn briefThis precedent links to:•a template created...
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25th Jul
Precedents
Modern slavery: contract clauses1DefinitionsModern Slavery Policy•means the Customer’s anti-slavery and human trafficking policy as set out in...
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19th Jul
Precedents
Recognising crime—red flags and warning signs for staffYou do not have to behave like a police officer but you do have to remain alert to the red...
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16th Jul
Precedents
Mini training aid—AML—reporting suspicions—post-training assessment answersQuestionAnswers1. Which Act(s) create(s) obligations to report knowledge or...
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14th Jul
Precedents
Competition law compliance—annual review1General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]2Review and...
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14th Jul
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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14th Jul
Precedents
Mini training aid—AML—reporting suspicions—post-training assessment questionsHow to use this testThese questions are designed to test your...
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14th Jul
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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13th Jul
Precedents
Money Laundering Regulations 2017—nominated officer—annual AML and counter terrorist financing report to the board, senior management team or...
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9th Jul
Precedents
Message from CEO reinforcing the anti-bribery and corruption policyFrom [insert name and job title]Bribery and corruption remain major issues in world...
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6th Jul
Precedents
Training materials—dawn raids for Response Team LeadersThis Precedent presentation has been designed as a training aid that you can use to introduce...
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2nd Jul
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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29th Jun
Precedents
Policy—equality (short form)1Policy statement1.1The Company is fully committed to providing equal opportunities for all employees, workers and job...
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25th Jun
Precedents
Financial sanctions—post-training assessment questionsHow to use this testThese questions are designed to test your understanding following your...
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22nd Jun
Precedents
Financial sanctions—post-training assessment answersQuestionCorrect answer1. What are financial sanctions?(a) Restrictions on dealings in money and...
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22nd Jun
Precedents
Training materials—Financial sanctionsThis Precedent training presentation has been designed as an aid to train your staff on your financial sanctions...
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22nd Jun
Precedents
Sanctions training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course...
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17th Jun
Precedents
Trade & financial sanctions—FAQsWhat are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a...
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17th Jun
Precedents
This information security awareness poster/communication relates to using wi-fi. Click for the PDF.It...
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Produced in partnership with Lockton Companies insurance brokers 8th Jun

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