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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 Risk management content

Practice notes

Identifying and evaluating risk across the business

Identifying and evaluating risk across the businessLawyers generally have a reputation among business people for being risk averse. In-house lawyers...

1st Aug

Precedents

Decision-making process flowchart

Decision-making process flowchartThis flowchart illustrates the nine key stages in a decision making process and highlights decision making tools...

1st Aug

Precedents

Decision-making guide

Decision-making guide1Introduction1.1This Decision-making guide (the Guide) sets out our organisation’s approach to decision making and...

31st Jul

Practice notes

Modern slavery risk management guide

Modern slavery risk management guideWhy you need to manage this riskThe Modern Slavery Act 2015 (MSA 2015) has pushed issues of modern slavery and...

31st Jul

In-house

Precedents

Organisational decision levels (RACI) framework

Organisational decision levels (RACI) frameworkThis Precedent Organisational decision levels framework can be used for establishing decision making...

31st Jul

Q&As

How can I test my business continuity plan?

How can I test my business continuity plan?The BCP is an important part of the overall risk management framework for any firm. It helps ensure the...

31st Jul

Precedents

Risk register

Risk registerPlease click for the Precedent risk register.Please note that this register has been prepared in Excel and it therefore cannot be...

31st Jul

Precedents

Risk management policy

Risk management policy1Introduction1.1Risk management is central to the regulatory regime under which we operate and [Insert organisation’s name] is...

31st Jul

Practice notes

Brexit risk management guide [Archived]

Brexit risk management guide [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.Why you need to manage this riskThis risk...

Produced in partnership with Chris Bryant of Bryan Cave Leighton Paisner 31st Jul

Brexit

Q&As

What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the FCA handbook?

What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the...

31st Jul

Practice notes

Business continuity plan—BCP—a practical guide

Business continuity plan—BCP—a practical guideThis Practice Note explains what a business continuity plan (BCP) is and the regulatory requirements in...

Produced in partnership with David Gilmore of DG Legal 31st Jul

COVID-19

Practice notes

Business continuity plan—BCP—lifecycle

Business continuity plan—BCP—lifecycleThis Practice Note Business continuity plan (BCP) lifecycle is designed to help you navigate our BCP Precedents....

Produced in partnership with David Gilmore of DG Legal 31st Jul

Practice notes

Managing storm and flood risk

Managing storm and flood riskStorms and flooding can cause major problems for businesses in the UK.The issue extends beyond businesses whose premises...

Produced in partnership with Lockton Companies insurance brokers 31st Jul

Precedents

Business continuity plan—BCP—priority list of functions and detailed risk assessment

Business continuity plan—BCP—priority list of functions and detailed risk assessment1Priority list of functionsThe key elements of the business that...

Produced in partnership with David Gilmore of DG Legal 31st Jul

Precedents

Risk management policy—annual review

Risk management policy—annual reviewA: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your risk management...

31st Jul

Precedents

Business continuity plan—BCP—key contacts list

Business continuity plan—BCP—key contacts listPlease note that the information contained in these tables is confidential.BCP management team...

Produced in partnership with David Gilmore of DG Legal 31st Jul

Precedents

Business continuity plan—BCP—schedule of testing

Business continuity plan—BCP—schedule of testingPlease click for an Excel version of this register.You should test the BCP to ensure it is...

Produced in partnership with David Gilmore of DG Legal 31st Jul

Precedents

Business continuity plan—BCP—Training materials

Business continuity plan—BCP—Training materialsThis presentation has been designed as an aid to train your staff on your Business continuity plan...

Produced in partnership with David Gilmore of DG Legal 31st Jul

Precedents

Business continuity plan—BCP—cascade system

Business continuity plan—BCP—cascade systemNameCallsContact number[CEO OR Senior Partner OR [Head of [Compliance OR Legal OR ][Insert number][Head of...

Produced in partnership with David Gilmore of DG Legal 30th Jul

Precedents