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.
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.
Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
Helping in-house counsel, privacy and compliance professionals manage the regulatory burden. GDPR, BA, MLR and plenty more, we've got it covered.
Law360, London: Allegations by the Serious Fraud Office (SFO) that an insurance broker failed to prevent bribery will tread new ground, a sign that...
Following the publication of the Serious Fraud Office’s (SFO) new corporate guidance setting out expectations for Deferred Prosecution Agreements...
The Department for Business and Trade (DBT), Office of Trade Sanctions Implementation (OTSI) and Department for Science, Innovation and Technology...
The Office of Financial Sanctions Implementation (OFSI) and HM Treasury (HMT) have extended General Licence INT/2023/3263556, initially issued under...
The Serious Fraud Office (SFO) has published guidance establishing that corporates who self-report wrongdoing and fully cooperate can expect to...
Failure to prevent facilitation of tax evasion—compliance issuesThe Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to...
Modern slavery risk management guideThis Practice Note is intended for commercial organisations within the UK. It should be read in conjunction with...
How to manage modern slavery and human trafficking riskWhat is modern slavery?Modern slavery is a term used to describe forms of slavery, human...
Regulation of AML, CTF and counter-proliferation financing—table of relevant authoritiesThis Practice Note provides a quick reference guide to some of...
What’s new and what’s changed in 2022—Risk & Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
Anti-bribery and corruption policy and procedure planning and implementation timetableThis Precedent sets out a typical timetable for implementing an...
Message from CEO reinforcing the anti-bribery and corruption policyFrom [insert name and job title]Bribery and corruption remain major issues in world...
Money Laundering Regulations 2017—nominated officer job description and role profile1Nominated officer detailsName of organisation[Insert name]Name of...
MLCO and nominated officer—combined job description and role profile1IntroductionThis job description and role profile relates to the combined...
Dawn raid—IT Director—flowchartThis Precedent Dawn raid Flowchart guides the IT director (or other designated IT representative) through the IT issues...
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...
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
Dawn raid—who can raid my organisation and why?The UK Government has legislated to permit a number of UK authorities to obtain search warrants to...
Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
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...
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
Dealing with the National Crime AgencyThis Practice Note provides high-level guidance on dealing with the National Crime Agency. It sets out the role,...
Public statement on data breachStatement by [insert name of organisation] concerning a significant [cyber attack OR data protection breach] on [insert...
Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
Dealing with the Serious Fraud OfficeSFO—role and powersRoleThe Serious Fraud Office (SFO) is the authority in England, Wales and Northern Ireland...
How to conduct a legitimate interest assessment (LIA)The UK General Data Protection Regulation (UK GDPR) permits processing of personal data where...
Dealing with dawn raids by the Information Commissioner’s OfficeThis document reflects the UK GDPR regime. References and links to the GDPR refer to...
This is a new alternative form of affordable housing provision specifically for the BTR industry. The developer or investor would be required to make a number of units available to qualifying low income households at a discount from market value (likely to be 20%)
Cooperation arrangements and partnerships between local authorities and other organisations that promote cooperation through integrated working across services at each organisational level to commission or deliver services which are child- (and family-)centred and improve outcomes for all children and young people in the local area.
The Nuclear Installations Act 1965 (as amended) requires HSE (through ONR) to attach conditions to nuclear site licences. Licence conditions define areas of nuclear safety to which a licensee should pay attention to ensure safe operation of the site. While some conditions impose specific duties others require the licensee to devise and implement adequate arrangements in particular areas. The issues covered range from arrangements for ensuring the safety of plant and for controlling operations to management issues such as the supervision and training of staff. Breach of a licence condition is an offence under NIA65 s.4(6). A schedule of 35 standard conditions was incorporated into all nuclear site licences granted between 1990 and 1999. A new licence condition, "Licence Condition 36 (LC36), was attached to all nuclear site licences at the end of July 1999. LC36(5) came into effect on 1 August 1999 and LC36(1)-(4) came into effect on 1 April 2000; this delay allowed time for licensees to develop their arrangements to achieve compliance. A high-level summary of the 36 conditions attached to a nuclear site licence is below: LC1 - Definitions and interpretations. LC2 – Adequate provision to ensure that no unauthorised access to site is allowed. LC3 – Restricts the ability of the site licensee to deal in or dispose of any part of the licensed site (i.e. by way of sale, assignment or leasing). The expression “LC(3) consent” relates to the consent of the ONR which is required before the licensee can deal in or dispose of any part of the licensed site. LC4 – Restricts what nuclear materials can be brought on site and their usage. LC5 – Restricts the destination where the site licensee can ship nuclear materials. LC6 – Ensures that the site licensee has adequate provision for the management of records and documents. LC7 – Ensures that the site licensee has adequate provision for the notification, recording, investigation and reporting of incidents. LC8 – Ensures that the site has adequate warning notices and that their meaning is clear and explained. LC9 - Ensures that every person authorised to be on the site receives adequate instructions (to the extent that this is necessary having regard to the circumstances of that person being on the site) as regards the risks and hazards associated with the plant and its operation, the precautions to be observed in connection therewith and the action to be taken in the event of an accident or emergency on the site. LC10 – Requires the site licensee to make and implement adequate arrangements for suitable training for all those on site who have responsibility for any operations which may affect safety. LC11 – Requires the site licensee to make and implement adequate arrangement for dealing with any accident or emergency arising on the site and their effects. LC12 – Ensures that the site licensee has adequate arrangements to ensure that only suitably qualified and experienced persons perform any duties which may affect the safety of operations. LC13 – Ensures that the site licensee establishes a nuclear safety committee(s). LC14 – Ensures that the site licensee creates and maintains relevant safety cases. LC15 – Ensures that safety cases are regularly reviewed. LC16 – Ensures that there are accurate site plans. LC17 – Ensures that the site licensee has adequate management and quality systems in place. LC18 – Ensures that there are adequate measures in place to assess average worker dosage. LC19 - Where the site licensee proposes to construct or install any new plant which may affect safety, the licensee shall make and implement"