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The Law and Regulation of Solicitors: Client Money

The Law and Regulation of Solicitors: Client Money

作者： Katie Jackson
出版商： Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526524614
出版时间 April 2023
规格： Paperback , 400 pages
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

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This book takes a new angle by de-mystifying client money, presenting the rules, requirements, and anti-money laundering context of client money in an easy-to-understand guide. The book also encompasses diagrams, worked examples, and a section of training materials for the reader to use as continuous professional development.

Client money is the source of the majority of disciplinary prosecutions for solicitors and other legal professionals; it is also the primary concern of the money laundering legislative framework, including the Proceeds of Crime Act 2002 and the Money Laundering Regulations 2017. Without money involved there would be limited concern about money laundering in a legal transaction. However, our focus is often client identity.
1. The Accounts Rules
2. Receiving Client Money
Precedent 2A: Anti-Money Laundering Advice Form
Precedent 2B: Anti-Money Laundering Reporting Form
3. Risk Assessments and Risk Management
Precedent 3A: Business Continuity Plan
Precedent 3B: Anti-Money Laundering Risk Assessment Template 1
Precedent 3C: Anti-Money Laundering Risk Assessment Template 2
Precedent 3D: Anti-Money Laundering and Client Money File Review
Precedent 3E: Transaction Finance and Client Financial Health Risk Assessment
Precedent 3F: Reflective Anti-Money Laundering Risk Assessment
Precedent 3G: Sample Wording for File Storage and File Reviews Policies
Precedent 3H: Departmental or Individual Client Matter Risk Assessment (EDD)
4. Legislation, Regulatory Outcomes, and Offences
5. Case Studies
Precedent 5A: Sample Compliance Learning and Development Plan
Precedent 5B: Part Template Anti-Money Laundering Policy for Small Firms and Natural Persons
6. Continuous Professional Development
Appendix 6A: Further information and some answers
7. Current and Future Developments
8. Conclusion
Appendix A: Bibliography

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