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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. ...
Most recent Precedents
1 Introduction to this guide 1.1 [ Insert firm name ] must, under the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended, establish systems and controls to deter money laundering, terrorist financing and proliferation financing. 1.2 Our AML, CTF and counter-proliferation financing policy sets out the procedures adopted to meet these duties. This includes a requirement to carry out client due diligence ( CDD), that is to: 1.2.1 verify the client’s identity and confirm it is accurate; 1.2.2 determine the beneficial owner where the client is not that person; and 1.2.3 gather information on the purpose and intended nature of the business relationship. 1.3 This guidance focuses on the second element, namely identifying the beneficial owner. 2 What/who is a beneficial owner? 2.1 A beneficial owner is the natural person or...
ARCHIVED: This Precedent has been archived and is no longer maintained. Provided for background purposes only, it points to international data transfer templates once valid under the United Kingdom General Data Protection Regulation, Assimilated Regulation ( EU) 2016/679 ( UK GDPR) that have since been replaced. Those templates stopped being acceptable for use as international transfer mechanisms for contracts signed after 21 September 2022, and for all contracts, regardless of signature date, from 21 March 2024. For details of current international data transfer mechanisms recognised under the UK GDPR, see Practice Note: UK GDPR—transfers of personal data internationally and to international organisations. In brief This Precedent links to: a template produced by the UK Information Commissioner's Office ( ICO) for the ‘ Set II’ or ‘2004’ EU Standard Contractual Clauses (also referred to as the Model Clauses or SCCs), originally adopted by Commission Decision...
ARCHIVED: This Precedent has been archived and is not maintained This material is retained solely for background reference. It points to international data transfer templates that were originally valid under the United Kingdom General Data Protection Regulation, Assimilated Regulation ( EU) 2016/679 ( UK GDPR), and which have since been superseded... These templates are no longer acceptable as international transfer mechanisms for contracts entered into after 21 September 2022, and they became invalid for all contracts, irrespective of signature date, from 21 March 2024... For details of current, compliant international data transfer mechanisms under the UK GDPR, see Practice Note: UK GDPR—transfers of personal data internationally and to international organisations... In brief A link to a template produced by the UK Information Commissioner’s Office ( ICO) for the ‘2010’ EU Standard Contractual Clauses (also called Model Clauses or SCCs), first introduced by Commission Decision 2010/87/ EU of 5...
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......
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......
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...
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...
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 Background information Project name [ add project name ] Author [ add author name ] Sponsor [ add project sponsor name(s) ] Date [ add date the business case was prepared ] 2 Distribution list Name Department or organisation [ add the name of any stakeholders who must be sent a copy of this business case ] [ add the department or organisation this person works in ] [ add name ] [ add the department or organisation this person works in ] [ add name ] [ add the department or organisation this person works in ] [ add name ] [ add the department or organisation this person works in ] 3 Project team Project role Name Location Contact details [ add role, for...
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...
Agriculture Objective Guarantee the organisation procures UK contract farm labour solely through reputable agencies. Action step By [ insert date ], review all UK agency relationships to confirm that every labour supplier holds a current Gangmasters and Labour Abuse Authority ( GLAA) licence. Indicator [ 100 ]% of labour providers possess a valid GLAA licence. Objective Make certain every farm in our supply base meets minimum labour standards and that all workers have the right to work in the UK. Action step Carry out spot audits of [ x number or % ] UK supplier farms by [ insert date ] to verify labour conditions align with [ insert relevant benchmark ] and that all workers have the right to work in the UK. Indicator Track the number of sites audited, level of access granted (including worker right-to-work records), and the quantity and seriousness of breaches identified against [ insert relevant benchmark...
General Please select to access Excel version of this register. Add course title/summary and justification for training...
How to use this test These questions assess your grasp following your participation in our training on financial sanctions. Once you have finished this test, kindly please return it to [ insert name ]. General Name of person completing test: [ Insert name ] Role: [ Insert role ] Date: [ Insert date ] Multiple choice questions Please tick the correct answer. Question Multiple choice answers 1. What do financial sanctions involve? □ Limits on dealings in money and the provision of financial services □ Limits on import and export of goods □ Limits on travel into and out of the UK □ All of the above 2.......
Financial sanctions Financial sanctions are controls that limit transactions involving money and the delivery of financial services; they may, for example, bar the transfer of funds to particular countries, individuals or entities. The Sanctions and Anti- Money Laundering Act 2018 ( SAMLA 2018) is the UK’s principal sanctions law. It outlines the sanctions that can be introduced and the aims they may serve, empowers ministers to set detailed rules, and places obligations to ensure robust scrutiny and the safeguarding of the rights of those affected. Regulations made under SAMLA 2018 can create a wide range of measures—covering financial, trade, immigration, transport, etc. Financial sanctions typically prohibit dealing with assets, or making funds or economic resources available to, or for the benefit of, designated persons. There are also sectoral sanctions that forbid or restrict specified financial and investment activities. For our business, adherence to this framework is...
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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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