Board briefings and reports

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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Precedents
Money Laundering Regulations 2017—nominated officer—annual AML and counter terrorist financing report to the board, senior management team or...
Read More >
11th Jun
Precedents
Data protection board briefing [Archived]ARCHIVED: This Precedent data protection board briefing has been archived and is not maintained. It is for...
Read More >
6th Jun
Precedents
Competition law compliance—annual report to the board1General informationDate of this report[Insert date]Date of last report[Insert date]Name of...
Read More >
6th Jun
Precedents
Code of ethics—annual board reportDate of report[insert date of report]Report prepared by[Insert name and role]1IntroductionOur Code of ethics sets...
Read More >
6th Jun
Precedents
Data protection board report1General informationThis section places this report in context and identifies those responsible for producing it.Date of...
Read More >
6th Jun
Precedents
Data protection board briefingDate: [insert date]1IntroductionAs our [insert appropriate term, eg senior management team or board], it is important...
Read More >
5th Jun
Precedents
Annual tax evasion facilitation prevention report to the BoardGeneral informationDate of this report[Insert date]Date of last report[Insert date]Name...
Read More >
5th Jun
Precedents
Annual anti-bribery and corruption report to the Board1General informationDate of this report[Insert date]Date of last report[Insert date]Name and...
Read More >
5th Jun

Popular documents