Monitoring officer meaning

Checklist for overseas partners on preventing bribery Policies and procedures Does the company have a clear, robust and practical code of ethics that expressly states zero tolerance for bribery and corruption? Is that code backed by proportionate policies? Is there visible top-level commitment from the Board, and does a suitably experienced senior officer oversee the anti-bribery framework? Are anti-bribery policies and procedures a standing agenda item at Board meetings? Are the Board’s discussions on these policies and procedures comprehensively recorded in the minutes? Is there a Board sub-committee charged with updating and enforcing the anti-bribery policies and procedures? Do the company’s General Counsel and, where applicable, the legal/compliance team have specific expertise in anti-bribery legislation and practice? If not, (a) are external lawyers with the requisite knowledge retained; and (b) is an appropriate internal training programme considered? Do Board members receive the same anti-bribery training as other staff? ...

This Checklist directs you to relevant Precedents you can adopt or adapt to meet the obligations of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended, together with associated recommendations. It consolidates obligations in the MLR 2017, as amended, and also those found in the: National money laundering and terrorist financing risk assessment Legal Sector Affinity Group (LSAG) Anti-Money Laundering (AML) Guidance for the Legal Sector SRA sectoral money laundering and terrorist financing risk assessment various SRA and Law Society publications The Checklist highlights applicable Precedents you may use or modify to satisfy these obligations and recommendations in your practice where appropriate. A section is provided for you to record whether you have fulfilled each requirement and to add comments or note action points. Governance Money laundering compliance officer (MLCO) Requirement Compulsory or recommended?...

This Checklist directs you to relevant Precedents to use or tailor so you meet the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended, and related recommendations. It includes a section to record completion of each task and space to add remarks or identify action points. Confirm whether the MLR 2017 impose extra or different obligations for your sector and whether your regulatory body sets any further, sector-specific requirements. Nominated officer For additional guidance, see Practice Note: Money Laundering Regulations 2017—nominated officer. Requirement | Compulsory or recommended? | Comments (if any) ☐ Determine: are you required to appoint a nominated officer? if yes, who will be your nominated officer? if no, will you appoint a nominated officer on a voluntary basis? Appointment of a nominated officer is mandatory if you fall within the scope of the...

This flowchart shows how to determine whether you need to carry out a data protection impact assessment (DPIA) for a specific project, and the steps to complete one if required. It also outlines post‑DPIA tasks, including weaving the DPIA’s findings into your project plan and keeping the assessment under review. See also Precedents: Data protection impact assessment—DPIA and Data protection impact assessment—DPIA—short form, which draws on a template issued by the Information Commissioner’s Office (ICO). The ICO’s comprehensive Data Protection Impact Assessments guidance sets out seven steps to running a DPIA. This flowchart is designed to cover those seven stages, and it also mirrors the ICO’s expectations for post‑DPIA activity, namely: integrating the outcomes of your DPIA into your project plans, and monitoring the ongoing performance of the DPIA Note 1: Identify the need for a DPIA If you have a data protection officer (DPO), seek their advice. For further information, see Practice Note: How to complete a data protection impact...

In this issue: Social housing Children’s social care Planning Public procurement Governance Education Healthcare Social care Licensing LexTalk®Local Government: a Lexis®Nexis community Daily and weekly news alerts New and updated content New Q&A Social housing Local authority successful in Court of Appeal ‘intentional homelessness’ challenge under the Housing Act 1996 (Cifci v London Borough of Sutton). In Cifci v London Borough of Sutton, the appellant disputed the respondent’s decision that the main housing duty under section 193(1) HA 1996 was not engaged. He maintained he was not intentionally homeless within s 191(1), asserting that his exit from accommodation A was prompted by the landlord’s notice to quit, rather than by declining an offer of accommodation B from another local authority. The Court of Appeal held the reviewing officer was entitled to conclude intentional homelessness, as the effective reason for leaving accommodation A was the short-term placement at accommodation C provided by...

In this issue: General election Public procurement Judicial review Governance Local government finance Social care Social housing Healthcare Daily and weekly news alerts New and updated content Latest Q&A General election Cabinet Office publishes new security guidance for elections The Cabinet Office has issued fresh election security advice, ‘Online disinformation and AI threat guidance for electoral candidates and officials’. It offers practical steps for staff in political parties, local authorities, central government and the devolved administrations to lower the risk of hostile activity and to respond if targeted by online disinformation or generative AI material. It sets out how to cut the likelihood of attack and what to do if you are impacted by online disinformation or generative AI content. Readers should consider it alongside the National Cyber Security Centre’s ‘Defending Democracy’ guidance. A further section has been included: ‘Social Media Security Information for Candidates’. Refer to: LNB News 06/06/2024 17. ...

Practice Note This Practice Note reflects material sourced from multiple SRA publications, reports and events by the SRA. Embedding a robust anti-money laundering (AML), counter-terrorist financing (CTF) and counter-proliferation financing culture cuts risk, supports compliance and safeguards reputation. Aim to foster a workplace in which colleagues recognise their AML, CTF and counter-proliferation financing duties, understand them and can discharge them. Establishing such a culture rests on several components. Key strands include the following for effective implementation. A properly briefed, trained nominated officer Policies and procedures, proportionate to the firm’s risk assessment These arrangements must be monitored, refined and enforced consistently and effectively on an ongoing basis. The UK General Data Protection Regulation (UK GDPR) affects the data that firms are required to keep for AML, CTF and counter-proliferation financing purposes. Rights to erasure and to object influence what client information firms may retain. Firms must consider how best to balance the demands of the Money Laundering Regulations 2017 (MLR 2017) with the...

Lexcel is the Law Society’s benchmark for practice management. Accreditation is not mandatory, though Lexcel status can assist firms seeking accreditation under the Conveyancing Quality Scheme (CQS) or the Legal Services Board’s Specialist Quality Mark (SQM). This Practice Note highlights specific Precedents you may use or tailor, where appropriate and necessary, to meet the requirements of Lexcel v6.1. 1. Structure and strategy For detailed requirements, see: Lexcel practice management standard version 6.1...

The senior accounting officer (SAO) regime Brought in by Schedule 46 to the Finance Act 2009 (FA 2009), the SAO regime seeks to ensure qualifying companies have suitable tax accounting arrangements so that correct tax liabilities are reported to HMRC. The rules apply to financial years commencing on or after 21 July 2009. To satisfy the SAO rules, an SAO, in relation to each qualifying company for which they act, must: perform the main duty during every financial year (or for the relevant part of any year) in which they are the company’s SAO; and send HMRC, after the close of each relevant financial year, a certificate addressing the suitability of the tax accounting arrangements of the company or companies concerned This Practice Note: sets out the particular duties and responsibilities that make up an SAO’s main duty to take reasonable steps to ensure the company establishes and maintains appropriate tax accounting arrangements (that is, arrangements that allow...

1 Instructions on completing this form If while carrying out Client Due Diligence (CDD) checks, or through your ongoing monitoring duties as part of your obligations once a business relationship is already in place, you identify a material discrepancy between the beneficial ownership details supplied by the client and those appearing on the relevant registers (eg the Companies House register), you must complete this form and forward it to the [ state who the form should be sent to, eg nominated officer, head of risk, compliance officer ]...

1 General information Report date [ Insert date ] Previous report date [ Insert date ] Name and role of submitter [ Insert name and status, e.g. Anti-bribery and Corruption Officer (ABC Officer) ] 2 Action points arising from last report Action: [ Insert action point ] Person responsible: [ Identify person responsible for this action point ] Status: [ Describe status of the action point ] Action: [ Insert action point ] Person responsible: [ Identify person responsible for this action point ] Status: [ Describe status of the action point ] Action: [ Insert action point ] Person responsible: [ Identify person responsible for this action point ] Status: [ Describe status of the action point ] Action: [ Insert...

1 Introduction 1.1 Client care sits at the heart of the regulatory framework governing our work. We are committed to delivering a high standard of service to every client—this duty is shared by all staff to ensure we meet that aim. 1.2 This client care manual covers everyone working at any level, including partners, consultants, solicitors, other employees (whether permanent, fixed-term or temporary), contractors, trainees, secondees, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers, or any other person connected with the firm wherever based (together called ‘staff’ in this manual). 1.3 References to a ‘fee earner’ in this manual include all staff handling client matters and/or those responsible for managing client relationships, irrespective of their seniority or qualifications. 2 Responsibility The Compliance Officer for Legal Practice (COLP) holds responsibility for this client care manual and supervises the firm’s client care arrangements. If the COLP is unavailable and a response is required, you should contact [state who should be contacted, eg their deputy,...