Dealing with regulators

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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...
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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)...
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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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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...
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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...
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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...
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19th May

Most recent Dealing with regulators content

Practice notes
Dealing with the Financial Conduct AuthorityThe Financial Conduct Authority (FCA) is a UK financial regulatory body established by Act of Parliament...
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Produced in partnership with Esther Schutzer-Weissmann of 6KBW College Hill 1st Aug
Practice notes
Dealing with the Pensions RegulatorThe Pensions Regulator is the UK regulator of work-based pension schemes. This Practice Note sets out the role and...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 1st Aug
Practice notes
Dealing with the Solicitors Regulation AuthorityThis Practice Note covers the role, objectives and powers of the Solicitors Regulation Authority (SRA)...
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Produced in partnership with Iain Miller of Kingsley Napley and Ms Jessica Clay of Kingsley Napley 1st Aug
Practice notes
Dealing with the Serious Fraud OfficeSFO—role and powersRoleThe Serious Fraud Office (SFO) is the authority in England, Wales and Northern Ireland...
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Produced in partnership with Miranda Hill of 6KBW College Hill 1st Aug
Practice notes
Dealing with the immigration regulatorThis Practice Note covers the role, strategy and enforcement powers of the Home Office as the UK’s immigration...
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Produced in partnership with Natasha Chell of Laura Devine Immigration 1st Aug
Practice notes
Dealing with the National Crime AgencyThis Practice Note provides high-level guidance on dealing with the National Crime Agency. It sets out the role,...
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Produced in partnership with Peter Ratliff of 6KBW College Hill 1st Aug
Practice notes
Dealing with the Information Commissioner's OfficeWhat is the Information Commissioner's Office?The Information Commissioner's Office (ICO) is the...
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1st Aug
Practice notes
Dealing with the Health and Safety ExecutiveWhat is the Health and Safety Executive? The Health and Safety Executive (HSE) is the national regulator...
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Produced in partnership with Philip Ryan of Shoosmiths 1st Aug
Practice notes
Dealing with the Environment AgencyWhat is the Environment Agency?The Environment Agency (EA) is an executive non-departmental public body,...
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Produced in partnership with Joanne Sear of Shoosmiths and Philip Ryan of Shoosmiths 1st Aug
Practice notes
Dealing with the Advertising Standards AuthorityWho/what is the ASAThe Advertising Standards Authority (ASA) is the UK’s independent regulator of...
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Produced in partnership with Paul Jordan and Tim Heaps of Bristows LLP 1st Aug
Q&As
The police or regulator is conducting a search of my client’s premises but my team and I can’t attend because we are self-isolating. What can we...
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Produced in partnership with Jamas Hodivala of Matrix Chambers 31st Jul
Practice notes
Corporate co-operation guidance for organisations seeking a DPACo-operation by a corporate entity is key to obtaining a deferred prosecution agreement...
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30th Jul

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