Dealing with regulators

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Practice notes
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...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
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9th Nov
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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9th Nov
Practice notes
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...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Practice notes
This Practice Note sets out when organisations must appoint a nominated officer, the duties of the nominated officer and practical steps nominated...
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9th Nov

Most recent Dealing with regulators content

Practice notes
This Practice Note provides high-level guidance on dealing with the National Crime Agency. It sets out the role, powers and strategy of the NCA; its...
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Produced in partnership with Peter Ratliff of 6KBW College Hill 9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with Philip Ryan of Shoosmiths 9th Apr
Practice notes
The Pensions Regulator is the UK regulator of work-based pension schemes. This Practice Note sets out the role and objectives of the Pensions...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 9th Apr
Practice notes
SFO—role and powersRoleThe Serious Fraud Office (SFO) is the authority in England, Wales and Northern Ireland which investigates and prosecutes cases...
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Produced in partnership with Miranda Hill of 6KBW College Hill 9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with Vikki Hoyle of Walker Morris LLP 9th Apr
Practice notes
This Practice Note covers the role, objectives and powers of the Solicitors Regulation Authority (SRA) and its approach to enforcement, set out in its...
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Produced in partnership with Iain Miller and Jessica Clay of Kingsley Napley 9th Apr
Practice notes
Who/what is the ASAThe Advertising Standards Authority (ASA) is the UK’s independent regulator of advertising across all forms of media. The ASA is...
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Produced in partnership with Paul Jordan and Tim Heaps of Bristows LLP 9th Apr
Practice notes
The Financial Conduct Authority (FCA) is a UK financial regulatory body established by Act of Parliament in 2013. It is independent of government and...
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Produced in partnership with Esther Schutzer-Weissmann of 6KBW College Hill 9th Apr
Practice notes
What is the Environment Agency?The Environment Agency (EA) is an executive non-departmental public body, established in 1996 and sponsored by the UK...
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Produced in partnership with Joanne Sear of Shoosmiths and Philip Ryan of Shoosmiths 9th Apr
Practice notes
Co-operation by a corporate entity is key to obtaining a deferred prosecution agreement (DPA) as both the judgments approving DPAs entered into to...
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9th Apr
Practice notes
This Practice Note covers the role, strategy and enforcement powers of the Home Office as the UK’s immigration regulator. It sets out the key points...
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Produced in partnership with Natasha Chell of Laura Devine Immigration 1st Apr
Q&As
The use of video-conferencing technology has become essential for lawyers since the coronavirus (COVID-19) pandemic. If your client wishes you to...
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Produced in partnership with Jamas Hodivala of Matrix Chambers 8th Jan

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