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Latest Risk & Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Risk & Compliance weekly highlights—29 July 2021

The following Risk & Compliance news provides comprehensive and up to date legal information on Risk & Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Risk & Compliance content

What is a solicitor's undertaking?

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...

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...

SRA Standards and Regulations 2019—in-house lawyers

SRA Standards and Regulations 2019—in-house lawyersThe SRA Standards and Regulations set out the standards and requirements that individual...

The Information Commissioner’s Office (ICO)

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

Practice notes

Dawn raid—who can raid my organisation and why?

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...

Produced in partnership with Michael Potts of PCB Byrne 19th May

In-house

Practice notes

Conflicts of interest, confidentiality and disclosure 2019—in-house lawyers

Conflicts of interest, confidentiality and disclosure 2019—in-house lawyersThe SRA Code of Conduct for Solicitors, RELs and RFLs (Code for Solicitors)...

19th May

Practice notes

Brexit—exiting the EU under Article 50 [Archived]

Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

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...

19th May

In-house

Practice notes

High-risk third countries tracker

High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...

19th May

In-house

Practice notes

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...

Produced in partnership with Joanne Kane of Carmelite Chambers 19th May

Practice notes

Money Laundering Regulations 2017—simplified due diligence

Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...

19th May

Practice notes

Proceeds of Crime Act 2002—key information for businesses

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...

19th May

Practice notes

Brexit legislation tracker

Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...

19th May

Brexit

Practice notes

Tipping-off and prejudicing an investigation

Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...

19th May

Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...

19th May

Practice notes

Introduction to retained EU law

Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

Practice notes

SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyers

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...

19th May

Precedents

Financial sanctions policy

1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...

19th May

Practice notes

Getting the Deal Through: Merger Control 2021

Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...

19th May

Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...

19th May

Brexit

Most recent Regulatory regime content

Precedents

Data protection compliance—self-audit

Data protection compliance—self-auditLawfulness, fairness and transparencyICO expectationLexisNexis® guidanceLexisNexis® Precedents and tools☐ ...

1st Aug

Q&As

Does the UK GDPR apply to mixed datasets?

Does the UK GDPR apply to mixed datasets?This Q&A considers whether the requirements of the UK General Data Protection Regulation (UK GDPR), Retained...

1st Aug

Q&As

Does the GDPR prevent law firms or other professional services providers from charging clients for storing or retrieving their files?

Does the GDPR prevent law firms or other professional services providers from charging clients for storing or retrieving their files?Law firms—sector...

1st Aug

Precedents

Data protection board briefing [Archived]

Data protection board briefing [Archived]ARCHIVED: This Precedent data protection board briefing has been archived and is not maintained. It is for...

1st Aug

Practice notes

Dealing with the Information Commissioner's Office

Dealing with the Information Commissioner's OfficeWhat is the Information Commissioner's Office?The Information Commissioner's Office (ICO) is the...

1st Aug

Practice notes

UK GDPR—the basics

UK GDPR—the basicsThis Practice Note explains, in simple terms, the key features of the UK General Data Protection Regulation (UK GDPR). See also...

1st Aug

Practice notes

AML and data protection

AML and data protectionThis document reflects the UK GDPR regime. References and links to the GDPR refer to the UK GDPR (Retained Regulation (EU)...

1st Aug

Precedents

Data protection board briefing

Data protection board briefingDate: [insert date]1IntroductionAs our [insert appropriate term, eg senior management team or board], it is important...

1st Aug

Q&As

Under Article 3 of the General Data Protection Regulation, will all personal data processed ‘in the context of the activities of an establishment of a controller or a processor’ based in the EU fall under the regulation regardless if the personal data in question relates to EEA individuals or not?

Under Article 3 of the General Data Protection Regulation, will all personal data processed ‘in the context of the activities of an establishment of a...

Produced in partnership with Shobana Iyer of Swan Chambers 1st Aug

Practice notes

Key definitions under data protection law

Key definitions under data protection lawOn 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between...

31st Jul

Q&As

Despite not being in effect until 25 May 2018, can you address the GDPR in contractual agreements now?

Despite not being in effect until 25 May 2018, can you address the GDPR in contractual agreements now?ImplementationThe General Data Protection...

31st Jul

Practice notes

Getting the Deal Through: Data Protection & Privacy 2021

Getting the Deal Through: Data Protection & Privacy 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...

31st Jul

Q&As

Is a law firm a data controller or data processor under the General Data Protection Regulation? If a law firm acts as data processor, what contractual terms are required?

Is a law firm a data controller or data processor under the General Data Protection Regulation? If a law firm acts as data processor, what contractual...

31st Jul

Practice notes

Diversity monitoring and data protection—law firms

Diversity monitoring and data protection—law firmsYou must monitor, report (to the SRA) and, where appropriate, publish data regarding the diversity...

31st Jul

Q&As

Will the processing of personal data relating to US citizens by a UK company in the UK be subject to the GDPR (once that applies) (and assuming the personal data relates to US citizens only, not EU citizens)?

Will the processing of personal data relating to US citizens by a UK company in the UK be subject to the GDPR (once that applies) (and assuming the...

Produced in partnership with Shobana Iyer of Swan Chambers 31st Jul

Practice notes

Brexit—implications for data protection

Brexit—implications for data protectionThis Practice Note discusses the impact of Brexit on the general processing of personal data under the General...

31st Jul

Brexit

In-house

Q&As

When drafting agreements that have data processing implications, do you need to take into account the provisions of the General Data Protection Regulation even though the provisions of that Regulation will not come into force until May 2018?

When drafting agreements that have data processing implications, do you need to take into account the provisions of the General Data Protection...

31st Jul

Practice notes

Data protection principles

Data protection principlesOn 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK,...

Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 31st Jul

Practice notes

AML and data protection—law firms

AML and data protection—law firmsThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It...

31st Jul

Practice notes

The Chartered Governance Institute guidance on EU General Data Protection Regulation

The Chartered Governance Institute guidance on EU General Data Protection RegulationThis guidance note, dated November 2017, was produced by The...

30th Jul

Regulatory regime

View Risk & Compliance by content type:

Latest Risk & Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

Risk & Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

Featured Risk & Compliance content

What is a solicitor's undertaking?

AML and counter-terrorist financing—source of funds and source of wealth

SRA Standards and Regulations 2019—in-house lawyers

The Information Commissioner’s Office (ICO)

Most recent Regulatory regime content

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Robbery

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