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The Law and Regulation of Solicitors: Client Money

The Law and Regulation of Solicitors: Client Money

  • 作者:
  • 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

List Price: ¥1,576.25

¥1,528.96 Save ¥47.29 (3%)

发货时间:大约 4-5 weeks
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Hong Kong: free delivery (order over HKD 1000)
  • 描述 
  • 大纲 
  • 详细

    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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