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Stop press: The Data (Use and Access) Act 2025 (Commencement No 6 and Transitional and Saving Provisions) Regulations 2026, SI 2026/82 now activate the outstanding parts of the Data (Use and Access) Act 2025 (DUAA 2025). Measures covering subject access requests, legitimate interests, purpose limitation, automated decision-making, cross-border transfers and enforcement take effect from 5 February 2026, while those on penalty notices and complaints apply from 19 June 2026. For further detail, refer to Practice Note: Data (Use and Access) Act 2025—employment implications. This Precedent will shortly be revised to reflect these developments. [to be printed on employer letterhead] [ Name of Employee ][ Address ][ Date ] Dear [ insert employee's name ] Secondment to [ insert name of host company ] Following our recent conversations, I am writing to confirm the arrangements we have agreed for your secondment to [ insert name of host company ] (the
[ Insert name and address of client ] [ insert date ] Dear [ insert name of contact at the client ] Explaining the disclosure process and your obligations Thank you for instructing us in relation to [ insert matter name / details ]. [ This letter accompanies our retainer OR Our retainer will follow under separate cover ]. It [ has been confirmed OR is likely OR is possible ] that your dispute with [ describe other parties ] will be determined in the Business and Property Courts [ if it proceeds to formal litigation ]. This letter explains what disclosure under the Disclosure Scheme ( DS ) in the Business and Property Courts involves, and what you must know about the procedure. The DS seeks a fundamental cultural shift in the approach to disclosure in civil litigation. So, even if you have handled
This Agreement is entered into on [ insert date ] between: 1 [ insert name of manufacturer ] [ of OR a company incorporated in [ England and Wales ] under number [ insert registered number ] whose registered office is at ] [ insert address ] (Manufacturer); and 2 [ insert name of customer ] [ of OR a company incorporated in [ England and Wales ] under number [ insert registered number ] whose registered office is at ] [ insert address ] (Customer). Each of the Manufacturer and the Customer is a party and, together, the Manufacturer and the Customer constitute the parties... Background: (A) The Manufacturer manufactures [ insert ]... (B) The Customer Group manages the distribution and sale of [ insert ]... (C) The Manufacturer intends to manufacture and sell the Product to the
This Deed is dated on [ insert day and month ] 20[ insert year ] Parties [ Insert name of Chargor ], being a company incorporated in England and Wales, bearing registered number [ insert company number ], and whose registered office is situate at [ insert address ] (the Chargor); and [ Insert name of Lender ] of [ insert address ] (the Lender). Recitals The Lender makes facilities available to the Chargor under various financing arrangements. It is a condition of the Lender making the facilities available to the Chargor that the Chargor enter into this Deed in favour of the Lender. ...
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Register of non-compliance and corrective actions This register allows the independent audit function to record specific instances of non-compliance identified during the organisation’s independent audit mandated under the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017, SI 2017/692 ( MLR 2017), as amended, and to monitor the corrective actions needed to resolve the non-compliance. It acts as a supplement to Precedent: Money Laundering Regulations 2017—independent audit report, and, for law firms, Money Laundering Regulations 2017—independent audit report—law firms. Please click to obtain an Excel version of this register. Kindly note that this register has been created in Excel and therefore cannot be downloaded into Word......
1 Preparing for the audit This part outlines a checklist of matters to consider prior to the audit taking place here...
1 General information Person(s) conducting audit: [ Add name(s) and position(s) of the auditor(s) ] Internal or external auditor(s): ☐ Internal ☐ External Dates of audit: From [ add date ] to [ add date ] Firm-wide or targeted audit: ☐ Firm-wide ☐ Targeted [ Specify exactly what was in scope, e.g. property transactions financed by cryptoassets ] Office(s) covered by the audit: [ [ Add details of offices included in this audit ] ] 2 Executive summary [ Add an executive summary of the report’s findings ] [ [ Add a summary of recommendations, for example: ] Importance Number of recommendations Critical: [ Add number of recommendations from section 5 classified as critical ] Important: [ Add number of recommendations classified as important ] Housekeeping: [ Add number of...
Schedule of recommendations This schedule of recommendations is designed for use by the independent audit function to present its proposals after the audit of the organisation’s anti-money laundering ( AML), counter-terrorist financing ( CTF) and counter-proliferation financing compliance policies, controls and procedures, and to oversee compliance with those proposals. Please click for an Excel version of this register. Please note that the register has been produced in Excel and therefore cannot be downloaded into Word. This Precedent complements Precedent: Money Laundering Regulations 2017—independent audit report, and, for law firms, Money Laundering Regulations 2017—independent audit report—law firms......
1 Establishment of independent audit function Under the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, firms that fall within scope are required to put in place an independent audit function where this is appropriate, with due regard to the size and nature of their business operations. Having considered the firm’s size, its business profile, and the outcome of the firm’s money laundering, terrorist financing and proliferation financing risk assessment, we have elected to establish an independent internal audit function. This document defines the purpose, scope, activities and duties assigned to the firm’s independent audit function. 2 Governance and reporting lines 2.1 The independent audit function will be headed by [ insert name of head of audit function ], who will report directly to [ insert, eg the board ]. All other members of the...
1 General information Review window [ Enter review period ] Date of review [ Enter date ] Reviewer(s) [ Enter name(s) ] 2 Data Criteria In the last [ enter period, e.g. quarter ] / Over the last 12 months Total Suspicious Activity Reports ( SARs) received [ Enter number ] / [ Enter number ] SARs concerning money laundering, terrorist financing or proliferation financing [ Enter number ] / [ Enter number ] Those SARs reported to the National Crime Agency ( NCA) [ Enter number ] / [ Enter number ] SARs to the NCA requiring consent/a defence ( DSARs) [ Enter number ] / [ Enter number ] DSARs for which consent has been granted [ Enter number ] / [ Enter number ] DSARs for which consent has been refused [ Enter number ] / [...
1 Introduction 1.1 We have conducted a firm-wide risk assessment ( FWRA) to pinpoint the threats to our business of becoming entangled in money laundering, terrorist financing and/or proliferation financing. This paper sets out the risks examined and the determinations made, together with our approach to mitigating them. The person responsible for this FWRA is [ insert name/role ]. 1.2 Our review took into account: the make-up and demographics of our clients; the jurisdictions and locations in which we operate; the industries we serve; the [ services AND/ OR products ] we offer; the nature of transactions we undertake, including delivery channels; current and prospective business partnerships and opportunities; our internal and operational risk exposures......
Stay vigilant to indicators and alerts that suggest criminal activity might be occurring within our organisation. You are not expected to act as a police officer, but you must undertake the sort of questioning a sensible counterpart, with your qualifications, knowledge and experience, would pursue. Your role is to shield our firm from being exploited to clean illicit funds. Gain a basic grasp of each situation and confirm that no red flags remain unexplained. Keep a record of your judgements so you can justify your actions if required. This awareness tool highlights common red flags and warning signs that could show our firm is connected with, or is itself being exploited to facilitate, crime (eg money laundering, terrorist financing, proliferation financing, sanctions offences, bribery, corruption, property or mortgage fraud, or organised crime). The presence of these factors does not, by itself, prove...
Third party reliance register This Precedent Third party reliance register helps you capture particulars of third parties you depend upon for client due diligence ( CDD), and also records those third parties that, for the same purposes, place reliance on you for these purposes......
1 Introduction 1.1 Tax evasion remains a significant issue in world trade, despite many targeted efforts to stop it. It is highly damaging to the societies affected; it diverts money and other resources from those who need them most and hampers economic and social development. 1.2 We have undertaken an organisation-wide analysis to identify where we face the greatest risk of being involved in the facilitation of tax evasion. This document sets out the risks reviewed and the conclusions reached. 1.3 The review considered: 1.3.1 the profile and demographic of our client base; 1.3.2 the geographical areas in which we operate; 1.3.3 the sectors in which we operate; 1.3.4 the services and products we offer; 1.3.5 the types of transactions in which we are involved; 1.3.6 existing and future business partnerships and...
[ [ Insert firm name ] is a signatory of the [ insert details of any human rights initiatives to which the organisation is a signatory, eg the United Nations Global Compact ]. ] We firmly pledge to uphold and honour all internationally recognised human rights. We further aim to ensure we are never party to human rights violations by any other individual, organisation or government......
[ Insert firm name] has signed up to the [insert details of any human rights initiatives to which the firm is a signatory, eg the United Nations Global Compact]. We are fully committed to upholding and respecting all internationally recognised human rights. We also work to ensure that we are not, in any way, complicit in human rights abuses by any other person, organisation, or government. 1 What are human rights? 1.1 The United Nations defines human rights as rights inherent to all human beings, irrespective of nationality, place of residence, sex, national or ethnic origin, colour, religion, language, or any other status. We are all equally entitled to our human rights without discrimination. 1.2 In this policy, ‘internationally recognised human rights’ means the rights set out in the Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights, the...
This Precedent This Precedent is intended to help you comply with Regulation 19(1) of the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended. The requirement is to regularly review and update your policies, controls and procedures, and to keep a written note of any amendments made, along with the steps taken to communicate those policies and any revisions within your business... Store it in a central place, eg on your intranet, so all staff can access it. If plans and policies are held electronically, consider making the document names hyperlinks to the actual files for ease of use. Alternatively, you may prefer a central register capturing all policies, plans and procedures, not only those relating to AML and CTF. For more information see Precedent: Register of...
Initial KPIs Objectives Boost awareness of modern slavery risks within our supply chain. Ensure high‑risk suppliers hold robust plans to respond to identified modern slavery or human trafficking incidents. Ensure all new suppliers are aware of, and meet, [ insert organisation name ]’s minimum labour standards. Action steps Identify suitable training workshops for suppliers, with all [ Tier 1 and 2 ] suppliers required by [ date ] to either certify attendance at a training session, or provide evidence of equivalent alternative training completed. Undertake worker feedback sessions during in‑person supplier audits. In...
1 Introduction 1.1 This policy outlines the duties of staff and leaders regarding inquiries into fraud, bribery, the facilitation of tax evasion, and other commercial offences (collectively, ‘financial crime’) within [ insert organisation name ]. We have zero tolerance for any form of financial crime and pledge to safeguard our assets and uphold honesty and integrity at all times. 1.2 [ Insert organisation name ] is dedicated to running its operations transparently, honestly and fairly, at all times. Everyone employed by, or acting for, [ insert organisation name ] must consistently demonstrate the highest level of accountability and foster an ethical culture at all times. 1.3 When financial crime is suspected, [ insert organisation name ] will initiate an impartial inquiry into the allegations and take suitable remedial action. Actions may involve disciplinary processes, dismissal and/or providing information to the relevant criminal...
Key information Firm name [ Enter the full firm name ] Role holder’s name [ Provide the full name ] Reporting line [ Insert, e.g. Risk and Compliance Director/ Chief risk officer ] Type of role [ Insert, e.g. Full-time/ Part-time/ Contractor ] [ If the position is a contractor role, specify the length of the contract ] Main location [ Insert the primary location for this role—if the role holder must regularly spend time in multiple locations, e.g. in each regional office, ensure this requirement is clearly set out ] Remote/hybrid/office-based?......
1 General information Date: [ Insert date ] Name of the person completing this response form and action plan: [ Insert name ] Date the sanctions breach report form was received: [ Insert date ] Name of the person who submitted the sanctions breach report form: [ Insert name ] [ Customer OR Client ] name and reference ( If applicable): [ Insert name and reference ] 2 Investigation and result Have you examined the circumstances described in the breach form? Please outline the steps taken to look into the circumstances ☐ Yes ☐ No [ Insert details ] Has a confirmed breach been identified? ☐ Yes—proceed to section 3 ☐ No—move to section 4.1 and explain in detail in the conclusion why no breach has occurred 3 Actions following breach Guidance: once a breach is confirmed, it is essential to take...
Please use this Precedent in order to maintain a log of suspected sanctions breaches within your organisation. It supports the recording, management and oversight of both actual and suspected sanctions breaches. Please click here to obtain an Excel version of this register. Please note that the register has been created in Excel, and so it cannot be exported into Word......
1 General information Date the enquiry began [ Insert date ] Investigator’s name [ Insert name ] Date the sanctions match report form was received [ Insert date ] Name of the person who submitted the sanctions match report form [ Insert name ] [ Client OR Customer ] name and reference, if relevant [ Insert name and reference ] Have any funds been received from the potential target? ☐ Yes—provide additional particulars ☐ No How are we engaged with the potential target (e.g. [ client OR customer ], third party, etc)? [ Insert details ] 2 Details of potential target match Complete name of the potential target match [ Insert name ] Which sanctions list features this name, and for what reason? Please attach supporting evidence and include as much detail as possible about the name on the...
1 Introduction 1.1 We conduct our businesses with unwavering integrity at all times and in all dealings. Each and every one of us must work together diligently to ensure our businesses remain wholly untainted by bribery and corruption. 1.2 This FAQ document, a central element of that effort, sets out how we can best pursue our business goals in a manner that aligns with our commitment to counter bribery and corruption. 2 What type of anti-bribery due diligence is required when making an acquisition? 2.1 The due diligence undertaken for acquisition targets is comparable to that required for agents and intermediaries. However, assessing an acquisition target generally calls for more in-depth analysis than the diligence of an agent or intermediary often does. This is because an acquiring party can be held responsible for past breaches and other wrongdoing by a target if it has not...
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This Practice Note This Practice Note reviews mechanisms used in settling litigation. A Tomlin order consists of a consent order paired with a schedule. It operates to stay proceedings on terms that have been agreed. The provisions contained in the schedule may remain confidential. This Practice Note describes the scope of confidentiality attaching to the schedule and sets out how it differs from a standard consent order. Sample wording for a Tomlin order is included, alongside links to precedents, as well as guidance on court approval. It also addresses varying, setting aside and enforcing a Tomlin order, including the considerations the court will take into account when handling applications for each. Further guidance is provided on interpreting and applying the relevant provisions of the CPR; however, some courts and divisions impose very specific requirements for both drafting and approval, and for approaching the schedule and confidentiality issues. Accordingly, you must consider the particular rules and court guide provisions in the forum where your claim is proceeding when drawing up the Tomlin order...
Date [ date ] Parties [ name of Landlord ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Landlord) [ name of Tenant ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Tenant) [ [ name of Guarantor ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Guarantor) ] [ [ name of Mortgagee ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Mortgagee) ] Definitions Within this Deed, the terms below shall be interpreted as follows: [ Annual Rent • the annual sum reserved under the Lease; ] [ Insurance Rent • the Tenant’s share of the Landlord’s costs of insuring the Property (as set out in the Lease); ] Lease • the lease of the Property dated [ date ], entered into between (1) [ the Landlord OR [ name ...
I, [ name ], of [ address ], solemnly and sincerely state that: [ Matters to be verified, set out in numbered paragraphs ] I make this solemn statement in good conscience, believing it to be true, and pursuant to the provisions of the Statutory Declarations Act 1835. DECLARED at [ details ] this [ day ] day of [ month and year ] Before me ................................................................................ [ signature of the person before whom the declaration is made ] A [ commissioner for oaths OR [ solicitor OR [ insert other qualification ] ] authorised to administer oaths ]...
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