How-to guides

Gain practical insights and actionable advice designed specifically for legal practitioners in Risk & Compliance. Our how-to guides offer step-by-step instructions to navigate regulatory landscapes, ensuring your firm remains compliant while mitigating risks. Stay ahead with expert strategies and best practices that simplify complex legal requirements and bolster your compliance efforts.

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Latest Risk & Compliance News

OFSI amends General licence INT/2025/5635700 and General Licence INT/2022/2470156

OFSI amends General licence INT/2025/5635700 and General Licence INT/2022/2470156
Sanctioned company director convicted of failing to give information

Sanctioned company director convicted of failing to give information

The following Corporate Crime news provides comprehensive and up to date legal information on Sanctioned company director convicted of failing to give information

FCDO issues new Russia sanctions guidance for non-UK businesses

FCDO issues new Russia sanctions guidance for non-UK businesses
OFSI issues new guidance on confidential sanctions breach reporting

OFSI issues new guidance on confidential sanctions breach reporting

Featured Risk & Compliance content

Can I charge a fee for dealing with a data subject access request?

Can I charge a fee for dealing with a data subject access request?

Can I charge a fee for dealing with a data subject access request?The General Data Protection Regulation (GDPR) provides for enhanced rights for data...

How to plan and conduct an internal investigation

How to plan and conduct an internal investigation

How to plan and conduct an internal investigationAn internal investigation is a legal process undertaken by an organisation (with or without outside...

Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?

Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?

Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal...

Anti-bribery and corruption—post-training assessment answers

Anti-bribery and corruption—post-training assessment answers

Anti-bribery and corruption—post-training assessment answersQuestionCorrect answer1. How many new offences does the Bribery Act 2010 create? (b)...

Q&As

Who can certify identification documents (passports, driving licences, utility bills, etc)?

Who can certify identification documents (passports, driving licences, utility bills, etc)?Government guidance on Certifying a document states...
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2nd Jun
Practice notes

Money Laundering Regulations 2017—scope and application

Money Laundering Regulations 2017—scope and applicationThis Practice Note sets out the scope and application of the Money Laundering, Terrorist...
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30th May
Practice notes

Money Laundering Regulations 2017—nominated officer

Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
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30th May
tag iconIn-house
Practice notes

Sanctions regime—Russia

Sanctions regime—RussiaThe Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018...
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2nd Jun
tag iconInternational sanctions
Practice notes

How to manage legal risk

How to manage legal riskIt is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think...
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Produced in partnership with Elizabeth Bourlet
2nd Jun
Practice notes

Contract management risk management guide

Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
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Produced in partnership with Elizabeth Bourlet
30th May
tag iconIn-house
Precedents

Competition law compliance—post-training assessment answers

Competition law compliance—post-training assessment answersQuestionCorrect answer1. Competition law protects business and consumers from...
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2nd Jun
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...
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30th May
Precedents

Anti-bribery and corruption—post-training assessment questions

Anti-bribery and corruption—post-training assessment questionsHow to use this testThese questions are designed to test your understanding after your...
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30th May
Practice notes

How to create a legal risk register

How to create a legal risk registerThis Practice Note is intended for in-house lawyers. It explains how to create a legal risk register, a tool that...
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30th May
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...
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30th May
Practice notes

Confidentiality risk management guide

Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
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Produced in partnership with Ishika Patel of Lawyers on Demand
30th May
Precedents

Records retention schedule

Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...
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30th May
Practice notes

Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businesses

Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
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30th May
Q&As

Refusing a data subject request—what is ‘manifestly unfounded or excessive’?

Refusing a data subject request—what is ‘manifestly unfounded or excessive’?The General Data Protection Regulation (GDPR) provides for enhanced rights...
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30th May
Practice notes

Dawn raid—who can raid my organisation and why?

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...
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Produced in partnership with Michael Potts and Arozo Gajia of PCB Byrne
30th May
tag iconIn-house

Popular documents

If a rentcharge is shown as being informally exonerated on title information, does this apply to the

If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid

Contributory negligence in personal injury claims

Contributory negligence in personal injury claimsContributory negligence is a partial defence which can lead to a discount in damages.Other defences may also be relevant. See Practice Notes: Did the claimant consent to the risk of injury? and Was the claimant involved in an illegal activity?If a

Can shares in a limited company that have not been paid-up at all be cancelled?

Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an