This CDD matter risk assessment form is intended to reflect risks identified in the anti-money laundering (AML), counter-terrorist financing (CTF) and counter-proliferation financing (CPF) regulatory regime, together with guidance issued by relevant regulators and any additional risks identified in our firm-wide risk assessment (FWRA). It is updated on a regular basis, in response to emerging risks and/or periodically. When completing this risk assessment, you must refer to the separate Explanatory notes, which can be found at the Appendix. 1 Existing and former clients only Please read section [insert] of the Explanatory notes and record your answers below. Is the CDD documentation we already hold adequate, up to date and appropriate for this matter?When answering this question, consider whether: —the CDD remains current and accurate —the nature and risk profile of this matter differs from the previous instruction, and —the CDD was undertaken by another office, jurisdiction or business unit See Explanatory notes for requirements when the client is a company, unregistered company, LLP, eligible Scottish partnership, registrable trust, or registrable overseas entity, which also covers reporting material discrepancies ☐ Yes☐ No—obtain or refresh the

This Practice Note is a one-stop shop for client due diligence (CDD) resources in the USA that saves time and effort by taking you straight to the relevant company registries for the different States in America. Company incorporation in the USA is the responsibility of State governments and the information available will vary according to State law. A legal entity in the USA is usually known as a corporation. Corporations whose shares are traded publicly are registered with the Securities and Exchange Commission (SEC) in Washington which maintains an online register. Client Due diligence (CDD) CDD is a central pillar of the anti-money laundering (AML) and counter-terrorist financing (CTF) regime. CDD requirements underpin the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017, (MLR 2017), SI 2017/692, as amended. Where the MLR 2017 apply, conducting CDD is an absolute requirement. It is not in itself subject to the risk-based approach. Certain components of CDD however, allow for flexibility and positively require risk

This Practice Note is a one-stop shop overseas client due diligence (CDD) resource that saves time and effort by taking you straight to the company registry for any particular country. It sets out a hyperlinked list of CDD resources by country in alphabetical order, from Afghanistan to Zimbabwe. CDD is a central pillar of the anti-money laundering (AML) and counter-terrorist financing (CTF) regime. CDD requirements underpin the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended. For more information on the MLR 2017 CDD requirements and when they apply, see Practice Notes: Money Laundering Regulations 2017—customer due diligence, and for law firms Money Laundering Regulations 2017—client due diligence—law firms. Remember that it is for you to assess and decide what evidence is appropriate to verify the identity of your customer/clients. This Practice Note contains details of several sources which may help you make that assessment in relation overseas companies. Where the client is a legal person, trust, company, foundation or similar legal arrangement

The Central Digital and Data Office (CDDO) has produced an assessment report DWP Money and Pension service (MAPS) pension dashboard. It covers what has been done well and what needs further exploration in regard to points such as whether the dashboard understands its users and their needs, whether it is simple to use, if the right technology has been chosen, and a number of other points. For the service to continue to the next phase of development, it must meet the Standard and get CDDO spend approvals. CCDO encourages reassessment within 3-6 months or sooner, once recommendations in the report have been addressed.

This Practice Note CDD—FAQs is intended for law firms. It covers some frequently asked questions in relation to client due diligence (CDD) under the anti-money laundering (AML), counter-terrorist financing (CTF) and counter-proliferation financing regime. When is CDD required? If you are conducting work caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended (see Practice Note: Money Laundering Regulations 2017—scope and application—law firms), you must apply CDD measures where you: • establish a business relationship • carry out an occasional transaction: ◦ that amounts to a transfer of funds within the meaning of Article 3.9 of the funds transfer regulations exceeding £800, or ◦ that amounts to £12,000 or more, whether executed in a single operation or in several operations which appear to be linked • suspect money laundering, terrorist financing or proliferation financing, or • doubt the veracity or adequacy of documents or information previously obtained for the purposes of identification or verification The Money Laundering and Terrorist Financing (Amendment)

Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2009 (SI 2009 / 1348)

ARCHIVED: This Practice Note has been archived and is not maintained. The Construction (Design and Management) Regulations 2015, SI 2015/51, (CDM 2015) apply to both projects which commenced after they came into force on 6 April 2015 and also to projects which were already in progress when CDM 2015 came into force. This Practice Note examines the application of CDM 2015 to projects which had already commenced prior to 6 April 2015 and to which the transitional provisions set out in CDM 2015 therefore applied. For more about CDM 2015 generally, see Practice Note: Construction (Design and Management) Regulations 2015. The transitional provisions in CDM 2015 addressed certain regulations in respect of which allowance was made during the first six months after CDM 2015 came into force. The other regulations in CDM 2015 had to be complied with from 6 April 2015 with no such allowance. Duty holders could choose to implement CDM 2015 straight away, even where the transitional arrangements would otherwise have applied. No CDM co-ordinator appointed on 6 April 2015 CDM 2015, Sch 4, para

The Construction (Design and Management) Regulations 2015, SI 2015/51 apply to all works in excess of 30 days or 500 hours and are designed to improve safety in the construction industry.

The Construction (Design and Management) Regulations 2015, SI 2015/51, which impose various standards on construction projects with regard to health and safety.

ARCHIVED: This Practice Note has been archived and is not maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 came into force on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived]. Introduction The Development of the Construction Phase Plan (the ‘Plan’) is one of the key duties of the Principal Contractor on every notifiable project (for more information on the Principal Contractor’s role, see the Practice Note entitled: CDM Regulations 2007—the role of contractors [Archived]). Along with the ‘Health and Safety File’ (the ‘File’), the aim of the Plan is to ensure health and safety so far as reasonably practicable during the construction phase of a project (see note entitled CDM Regulations 2007—the Health and Safety File [Archived]). Please note that any reference to the term ‘client’ in this practice note is synonymous with ‘employer’ as used in other Practice Notes in this context. ‘Client’ is used here to facilitate reference

ARCHIVED: This Practice Note has been archived and is not maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 came into force on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived]. Introduction The Health and Safety File (the ‘File’) is a document that must be prepared by the CDM co-ordinator on every notifiable project. Regulation 20(2)(e) of the Construction (Design and Management) Regulations 2007, SI 2007/320, (the Regulations) provides that the File should contain such information as is relevant to the project and is likely to be needed during any future construction work to ensure the health and safety of any person. It should be noted that although the information may be relevant to the contemporary construction work, the emphasis is on ensuring health and safety during any future works. The information in the File should therefore be sufficiently clear and targeted to allow any future construction work to be carried

ARCHIVED: This Practice Note has been archived and is not maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 came into force on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived]. Introduction The CDM co-ordinator may be seen as an employer’s ‘right hand’ throughout a construction project. The co-ordinator is one of the first people who will be appointed by the client and the co-ordinator’s role is to assist the client in fulfilling many of its duties under the Construction (Design and Management) Regulations 2007, SI 2007/320, (the Regulations). Please note that the term ‘client’ is synonymous with ‘employer’ as used in other practice notes in this context. ‘Client’ is used here to facilitate reference to the Regulations. It will often be the case that the client may have limited knowledge and experience of construction projects and therefore the appointment of a competent co-ordinator will be an invaluable step