About Risk & Compliance
Lexis+ Risk & Compliance is an online practical guidance product for in-house legal and compliance teams dealing with the ever-increasing and ever-shifting burden of risk and compliance.
Risk management guides
Each guide identifies five key priorities for the area of risk, and gives a heads-up on why each is a priority area. The priority is explained in further detail, with a series of mini-checklists and action points.
Competition & antitrust law compliance
Having a clear understanding of the nature of competition law compliance and the associated risks/challenges for businesses is the first step to setting effective compliance arrangements. We help organisations with this.
GDPR compliance
Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
Regulation
Helping in-house counsel, privacy and compliance professionals manage the regulatory burden. GDPR, BA, MLR and plenty more, we've got it covered.
Topics We Cover
Latest Risk & Compliance News
Law360, London: A Lloyd's of London broker is scheduled to stand trial in 2027 over allegations it failed to prevent its associates in the US from...
The European Commission has launched a public consultation to inform the implementation of the EU AI Act's provisions on high-risk artificial...
This week's edition of Risk & Compliance weekly highlights includes: analysis of outcomes from the cross-government review of sanctions implementation...
MLex: The European Commission is considering postponing the entry into application of the EU AI Act following controversy around a code of practice...
Corporate Crime analysis: On 15 May 2025, the UK government published the first cross-government review of sanctions implementation and enforcement....
Latest Risk & Compliance Practice Notes
How to deal with the FCAStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement Guide (ENFG), which...
Criminal records—asking questions and DBS checksThis Practice Note considers the extent to which employers can ask questions of a prospective employee...
How to plan and conduct an internal investigationAn internal investigation is a legal process undertaken by an organisation (with or without outside...
Protection for whistleblowersThis Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment Rights Act...
How to establish and evaluate source of funds and source of wealthThis Practice Note explains, in practical terms, how to establish and evaluate...
Latest Risk & Compliance Precedents
Third party funds investigation record1Introduction and instructions1.1Money launderers can seek to disguise the source of funds by having payments...
Anti-bribery and corruption—charitable and political donations FAQsWe run our business[es] with integrity. All of us must work together to ensure our...
Cash policy1Large payments made in cash may be a sign of money laundering, terrorist financing or proliferation financing.2You must not accept any...
Letter—from employer enclosing data protection privacy notice (recruitment)[Insert name and address of client]Private and confidentialDear [insert...
Risk appetite statement1Overall risk appetite[Insert organisation name] has a [low OR medium OR high] risk appetite overall. [Insert organisation...
Latest Risk & Compliance Q&As
Featured Risk & Compliance content
Can I charge a fee for dealing with a data subject access request?
How to plan and conduct an internal investigation
How to plan and conduct an internal investigationAn internal investigation is a legal process undertaken by an organisation (with or without outside...
Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?
Anti-bribery and corruption—post-training assessment answers
Anti-bribery and corruption—post-training assessment answersQuestionCorrect answer1. How many new offences does the Bribery Act 2010 create? (b)...
Who can certify identification documents (passports, driving licences, utility bills, etc)?
Money Laundering Regulations 2017—scope and application
Money Laundering Regulations 2017—scope and applicationThis Practice Note sets out the scope and application of the Money Laundering, Terrorist...
Money Laundering Regulations 2017—nominated officer
Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
Sanctions regime—Russia
Sanctions regime—RussiaThe Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018...
How to manage legal risk
How to manage legal riskIt is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think...
Contract management risk management guide
Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
Competition law compliance—post-training assessment answers
Competition law compliance—post-training assessment answersQuestionCorrect answer1. Competition law protects business and consumers from...
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...
Anti-bribery and corruption—post-training assessment questions
Anti-bribery and corruption—post-training assessment questionsHow to use this testThese questions are designed to test your understanding after your...
How to create a legal risk register
How to create a legal risk registerThis Practice Note is intended for in-house lawyers. It explains how to create a legal risk register, a tool that...
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...
Confidentiality risk management guide
Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
Records retention schedule
Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businesses
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
Associated legal terms
Distress warrant
A court order giving the power to seize goods from a debtor to pay his debts. See warrants of control.
Register of charities
Subject to certain exceptions, charities must be registered in the register of charities maintained by the Charity Commission.
Regulated market (FCA Handbook definition)
As defined in the FCA Handbook, a regulated market which is a UK recognised investment exchange.
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