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Featured Risk & Compliance content

Money Laundering Regulations 2017—simplified due diligence

You may apply simplified customer due diligence (SDD) measures in relation to particular business relationships or transactions which you determine...

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

What is a solicitor's undertaking?

An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...

Dawn raid—who can raid my organisation and why?

The UK Government has legislated to permit a number of UK authorities to obtain search warrants to 'raid' a business premises. The potential for a...

Practice notes

Active bribery, passive bribery and bribing foreign public officials

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...

Produced in partnership with Joanne Kane of Carmelite Chambers 9th Nov

Practice notes

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...

9th Nov

In-house

Practice notes

Getting the Deal Through: Merger Control 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...

9th Nov

Precedents

Modern slavery: contract clauses

1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...

9th Nov

In-house

Practice notes

AML and counter-terrorist financing—source of funds

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...

9th Nov

In-house

Practice notes

Introduction to retained EU law

This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...

9th Nov

Brexit

Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...

9th Nov

Practice notes

Money Laundering Regulations 2017—nominated officer

This Practice Note sets out when organisations must appoint a nominated officer, the duties of the nominated officer and practical steps nominated...

9th Nov

In-house

Most recent Crime prevention content

Practice notes

Failure to prevent facilitation of tax evasion—assessing risk

The Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to prevent facilitation of tax evasion, which came into force on...

16th Oct

Practice notes

The Modern Slavery Act 2015 and multinational organisations

Section 54 of the Modern Slavery Act 2015 (MSA 2015) places obligations on 'commercial organisations' that:•supply goods or services•carry on business...

Produced in partnership with Brett Hartley of Morgan Stanley 6th Oct

Practice notes

Slavery and human trafficking statement

Section 54 of the Modern Slavery Act 2015 (MSA 2015) requires some organisations to produce and publish an annual slavery and human trafficking...

6th Oct

Precedents

Anti-slavery and human trafficking statement

1: Opening statement from senior management[Name of organisation] is committed to preventing acts of modern slavery and human trafficking from...

30th Sep

Precedents

Anti-slavery policy

1What is slavery?1.1The Modern Slavery Act (MSA) 2015 covers four activities:SlaveryExercising powers of ownership over a personServitudeThe...

30th Sep

Precedents

Memorandum to board of directors/members/partners accompanying the firm’s draft Anti-slavery and human trafficking statement for approval

SummarySlavery and human trafficking remain major issues in world trade, despite the many dedicated efforts to prevent them. As many of you will know,...

30th Sep

Precedents

Modern slavery: contract clauses

1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...

30th Sep

In-house

Q&As

Is there a moral obligation for an organisation with a total turnover less than £36m to publish a slavery and human trafficking statement on its website?

Practice Note: Slavery and human trafficking statement (or Slavery and human trafficking statement for law firms) explains that although the £36m...

28th Sep

Q&As

Is an introducer an associated person for the purpose of tax evasion facilitation prevention—law firms?

What is the issue?The Criminal Finances Act 2017 (CFA 2017) created a new corporate offences of failure-to-prevent facilitation of tax evasion.Your...

28th Sep

Q&As

Can we delay publishing our annual slavery and human trafficking statement as a result of the coronavirus (COVID-19) pandemic and are there any particular modern slavery risks we should address?

This Q&A considers whether it is possible to delay publishing your organisation’s annual slavery and human trafficking statement as a result of the...

28th Sep

COVID-19

Precedents

Tax evasion training record

Please click for an Excel version of this register.GeneralCourse name/description[Insert course name/description]Reason for training (routine...

27th Sep

Precedents

Recruitment agent approved list

...

27th Sep

Precedents

Register of tax evasion facilitation prevention policies, plans and procedures

Click to download this register in Excel.

Please note that this

27th Sep

Precedents

Anti-slavery training record

Please click here for an Excel version of this register.GeneralCourse name/description...

27th Sep

Precedents

Suspicious activity report register

This Precedent Suspicious activity report register can help you keep comprehen

27th Sep

Precedents

Anti-bribery and corruption—agents and intermediaries register

Please click for an Excel version of this register.

Please note that t

27th Sep

Precedents

Staff guide on the offence of participating in activities of an organised crime group

1What’s the issue?1.1The Serious Crime Act 2015 (SCA 2015) includes an offence of participating in the activities of an organised crime...

27th Sep

Precedents

Crime prevention quarterly monitoring record

1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...

27th Sep

Practice notes

Failure to prevent facilitation of tax evasion—compliance issues

The Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to prevent facilitation of tax evasion, which came into force on...

26th Sep

Precedents