When things go wrong

View Risk & Compliance by content type:

Latest Risk & Compliance News

Featured Risk & Compliance content

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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Most recent When things go wrong content

Practice notes
Privilege—general principlesThis Practice Note considers the general principles, meaning and rationale behind privilege. It identifies the different...
Read More >
9th Sep
Practice notes
Legal privilege and professional secrecy—Spain—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to legal privilege and...
Read More >
24th Aug
Precedents
Legal professional privilege—top ten tipsThis Legal professional privilege—top ten tips document highlights key messages on how to attract and then...
Read More >
22nd Aug
Precedents
Personal data breach plan1Introduction1.1This personal data breach plan:1.1.1places obligations on staff to report actual or suspected personal data...
Read More >
22nd Aug
Precedents
Money laundering or terrorist financing incident—panic sheet1. Money laundering incident management teamYou need to be able to show you’ve taken a...
Read More >
22nd Aug
Precedents
Dawn raid—table of relevant authorities and the scope of their powers for Dawn Raid Response Team membersThis table provides a quick reference guide...
Read More >
22nd Aug
Precedents
Dawn raid—IT Director—flowchartThis Precedent Dawn raid Flowchart guides the IT director (or other designated IT representative) through the IT issues...
Read More >
22nd Aug
Precedents
Legal professional privilege—quick guide for staffThis Legal professional privilege (LPP) quick guide explains what LPP is and how we can best protect...
Read More >
22nd Aug
Precedents
Internal investigations—panic sheet1Decide who should conduct and support the investigationGeneral counsel should decide on how best to conduct the...
Read More >
22nd Aug
Precedents
Internal investigation—investigation reportPrivileged and confidentialNot for onward transmission without reference to [Head of Legal/Name of law...
Read More >
Produced in partnership with Dechert 22nd Aug
Precedents
Sanctions breach—panic sheet1Consider seeking external adviceGiven the complicated nature of most sanctions regimes, the potential for offences to...
Read More >
22nd Aug
Precedents
Dawn raid—action plan1Introduction1.1A dawn raid can be carried out on any business, big or small, so every business must be mindful of the...
Read More >
Produced in partnership with Michael Potts of PCB Byrne 22nd Aug
Precedents
Crisis management—panic sheetThis Crisis management panic sheet gives tips on what to do in the immediate aftermath (first 12 hours) of a crisis that...
Read More >
Produced in partnership with Philip Ryan of Shoosmiths 22nd Aug
Precedents
Whistleblowing report registerThis Precedent is a tool to maintain records of reports made under the Whistleblowing policy.It is provided in Excel...
Read More >
22nd Aug
Precedents
Litigation privilege logWhen establishing and protecting litigation privilege you can avoid the difficulties inherent in retrospectively seeking to...
Read More >
22nd Aug
Precedents
Crisis management team sheetPlease note that the information contained in these tables is confidential.1Internal crisis management teamThe table below...
Read More >
22nd Aug
Precedents
Crisis management planPerson in charge of crisis management plan[Name and contact details of senior person in the organisation in charge of reviewing...
Read More >
22nd Aug
Precedents
Document retention noticeStrictly Private & ConfidentialNot to be circulated outside of [insert organisation's name][ group]From: [Head of Legal]To:...
Read More >
Produced in partnership with Dechert 22nd Aug
Precedents
Dawn raid—notice to individuals whose IT equipment has been seized or frozenTo: [Individual’s name]From: Dawn Raid Response Team LeaderRE: Regulatory...
Read More >
22nd Aug
Precedents
Dawn raid—shadowers—flowchartIn the event of a dawn raid, investigators must be accompanied and monitored (shadowed) throughout. This is a key role...
Read More >
22nd Aug

Popular documents