About Risk & Compliance
Lexis+ Risk & Compliance is an online practical guidance product for in-house legal and compliance teams dealing with the ever-increasing and ever-shifting burden of risk and compliance.
Risk management guides
Each guide identifies five key priorities for the area of risk, and gives a heads-up on why each is a priority area. The priority is explained in further detail, with a series of mini-checklists and action points.
Competition & antitrust law compliance
Having a clear understanding of the nature of competition law compliance and the associated risks/challenges for businesses is the first step to setting effective compliance arrangements. We help organisations with this.
GDPR compliance
Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
Regulation
Helping in-house counsel, privacy and compliance professionals manage the regulatory burden. GDPR, BA, MLR and plenty more, we've got it covered.
Topics We Cover
Latest Risk & Compliance News
TMT analysis: This analysis considers the role of technical standards in the ICT sector and in particular in relation to artificial intelligence (AI)....
Law360, London: Allegations by the Serious Fraud Office (SFO) that an insurance broker failed to prevent bribery will tread new ground, a sign that...
Following the publication of the Serious Fraud Office’s (SFO) new corporate guidance setting out expectations for Deferred Prosecution Agreements...
The Department for Business and Trade (DBT), Office of Trade Sanctions Implementation (OTSI) and Department for Science, Innovation and Technology...
The Office of Financial Sanctions Implementation (OFSI) and HM Treasury (HMT) have extended General Licence INT/2023/3263556, initially issued under...
Latest Risk & Compliance Practice Notes
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
OFSI General Licence trackerThis Practice Note tracks General Licences issued by the Office of Financial Sanctions Implementation (OFSI) under the UK...
Sanctions—legal services general licencesThis Practice Note provides a summary of Office of Financial Sanctions Implementation (OFSI) General Licences...
Failure to prevent facilitation of tax evasion—compliance issuesThe Criminal Finances Act 2017 (CFA 2017) introduced a corporate offence of failure to...
Modern slavery risk management guideThis Practice Note is intended for commercial organisations within the UK. It should be read in conjunction with...
Latest Risk & Compliance Precedents
Dawn raid—list of disputed materialsIn the event of a dawn raid, please complete this document list and ensure it is signed by the investigators once...
Risk registerPlease click for the Precedent risk register.Please note that this register has been prepared in Excel and it therefore cannot be...
Notice to data subject—right to restriction of processing—lifting restriction[Name of data subject][Address of data subject][Date of this notice]Dear...
Dawn raid—action plan1Introduction1.1A dawn raid can be carried out on any business, big or small, so every business must be mindful of the...
MLCO and nominated officer—combined job description and role profile1IntroductionThis job description and role profile relates to the combined...
Latest Risk & Compliance Q&As
Featured Risk & Compliance content
How to manage legal risk
How to manage legal riskIt is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think...
Can a limited company make a subject access request? Can a director of a limited company ask for recordings of calls with us? If yes, what personal data must we provide?
Can I charge a fee for dealing with a data subject access request?
Tipping-off and prejudicing an investigation
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
Dawn raid—who can raid my organisation and why?
Dawn raid—who can raid my organisation and why?The UK Government has legislated to permit a number of UK authorities to obtain search warrants to...
Contract management risk management guide
Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
Confidentiality risk management guide
Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
Money Laundering Regulations 2017—simplified due diligence
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyers
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyersThis Practice Note provides guidance for in-house solicitors on the SRA Code of...
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businesses
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
Dealing with the National Crime Agency
Dealing with the National Crime AgencyThis Practice Note provides high-level guidance on dealing with the National Crime Agency. It sets out the role,...
Public statement on data breach
Public statement on data breachStatement by [insert name of organisation] concerning a significant [cyber attack OR data protection breach] on [insert...
Money Laundering Regulations 2017—nominated officer
Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
Dealing with the Serious Fraud Office
Dealing with the Serious Fraud OfficeSFO—role and powersRoleThe Serious Fraud Office (SFO) is the authority in England, Wales and Northern Ireland...
How to conduct a legitimate interest assessment (LIA)
How to conduct a legitimate interest assessment (LIA)The UK General Data Protection Regulation (UK GDPR) permits processing of personal data where...
Refusing a data subject request—what is ‘manifestly unfounded or excessive’?
If a multinational company with entities in a number of EU states has registered a data protection officer (DPO) with the Information Commissioner’s Office (ICO), does it need to register a DPO in the other EU states where it has entities or is registration in one country sufficient?
Dealing with dawn raids by the Information Commissioner’s Office
Dealing with dawn raids by the Information Commissioner’s OfficeThis document reflects the UK GDPR regime. References and links to the GDPR refer to...
Associated legal terms
Event of default (Insolvency)
An action or circumstance that causes a lender to demand full repayment of an outstanding balance sooner than it was originally due.
Merger control
The merger control rules of the UK are contained in the Enterprise Act 2002, as amended. Under the UK merger control rules, the Competition and Markets Authority has jurisdiction to review both completed and anticipated merger transactions provided there is a ‘relevant merger situation’. The UK rules do not generally apply to mergers in relation to which the European Commission has exclusive jurisdiction under the EU Merger Regulation. Where the transaction falls within the scope of any national or supranational (eg the EU or COMESA) merger control rules, it is common for the parties to the agreement to agree that the transaction shall be conditional upon merger control approvals having been received and no relevant competition authority having raised objections to the transaction (Enterprise Act 2002).
Pro forma
Pro forma can refer to financial statements prepared ahead of a planned transaction such as an acquisition which include the anticipated result of the transaction (eg including estimated net revenues and synergies). In an accounting context, it refers to statements that exclude unusual or nonrecurring transactions.
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