HCL launches an AML & Sanctions Manual

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  • Data Minimization: Collect only the data necessary for the intended purpose. Avoid the temptation to hoard data, as it increases the risk of misuse and security breaches.
  • Data Security Measures: Implement robust security measures to protect against unauthorized access. Encryption, secure storage, and regular security audits are essential components of a comprehensive data protection strategy.

Email from the SRA:

Sensitivity: General

Our ref: AUTH/SQE/SP/Hunnings


Dear Ingemar Hunnings

Thank you for your email of 28 November 2023.

Anyone who has at least one practice right listed in section 2.2 is eligible to apply for an exemption from the SQE assessments. Section 8 is required for those who do not have all the practice rights, or in certain instances where they are not able to demonstrate two years of practical experience.

If they do not have all of the practice rights they should answer the appropriate question in section 7 based on their circumstances, and they will also need to complete section 8 in full. The Section 8 assessment table should include specific examples of work completed by the applicant, and explanations as to why they consider this demonstrates each topic/competence. The section 8 narrative should then be supported by documentary evidence (where available) to show the work they have done. The applicant’s evidence must also be supported by corroborative references from those responsible for supervising that work.

Section 8 asks applicants to demonstrate transferrable skills. Applicants are not expected to demonstrate these skills in practice areas not covered by their professional legal qualification. They will however need to show they have the required abilities across the full list of topics in Section 8 through the experience they have gained to date.

We are in the process of updating both the web guidance and the application form to better explain these requirements. However, I can confirm that this advice will apply to anybody who has at least one, but not all, of the practice rights.

If you have any further questions please let me know.


Yours sincerely


Simon Prior

Authorisation Officer
Authorisation
Solicitors Regulation Authority/Awdurdod Rheoleiddio Cyfreithwyr
sra.org.uk "

Other help from HCL

External QWE Confirmation Service

QWE - External Confirming Solicitor Service - for Aspiring Solicitors

The SRA uses the Pearson VUE centres in the UK and overseas for people to sit the SQE1 and the written part of the SQE2 exams. You book them through your 'mySRA' account or profile on the SRA website. The oral part of the SQE2 exam currently (2023) has to be sat in person at test centres in England or Wales (currently in London, Cardiff & Manchester).

There are variations which may apply in different times of the year or from time to time, particularly currently in North America, Australia and New Zealand.

Here is the link to the relevant page on the SRA website. It is best to check this for the current situation. The SRA state that the exact locations are confirmed when the booking for an exam opens.

https://sqe.sra.org.uk/exam-arrangements/dates-and-locations

If you need an SRA regulated solicitor to confirm your QWE but have no-one in your organisation to do so - we can help. Please see the link below and feel free to signpost them to us:

QWE - External Confirming Solicitor Service - for Aspiring Solicitors

SQE2 Exam Exemptions

For information about this - please follow this link:

https://hunningsconsultancy.co.uk/sqe2-exemption-for-foreign-lawyers-review-advice/

YouTube

There are may videos on our YouTube channel giving information about the SQE, QWE & exemptions. Here is the link to the channel. Please feel free to subscribe:

https://www.youtube.com/@hunningsconsultancy999/videos

The SRA have written:

“There will now be a programme of on-site inspections and desk-based reviews to assess firms’ sanctions risk exposure and how they are mitigating their risk.”

Remember that they have gathered responses from all firms they regulate on how they comply. Now they will check.

We have anticipated this and have in place support & assistance packages which match that which we provide regarding AML compliance.

Sanctions Compliance Assistance

Sanctions Policy Documents & PWRA Review

Sanctions Regime Training

Sanctions Regime - Independent Compliance Audit

Sanctions Compliance Update Retainer

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Useful guidance below to avoid data breach by mistakes using BCC in emails. One of the most common data breaches is user error! Should you suffer a data breach each out to use. We provide a lot of Data Protection & GDPR support: https://hunningsconsultancy.co.uk/gdpr-support/

"Failure to use BCC correctly in emails is one of the top data breaches reported to us every year – and these breaches can cause real harm, especially where sensitive personal information is involved.

When you use the ‘BCC’ field to send an email, the recipients can’t see each other’s email addresses. You can use this if the personal information you’re sharing isn’t sensitive and there’s little risk. But if your email may reveal sensitive information about the recipients, you should assess whether using other secure methods would be more appropriate. 

You could: 

·        set rules within your email system to provide alerts and warn email senders when they use the Carbon Copy (CC) field; 

·        set a delay, allowing time for errors to be corrected before the email is sent; 

·        turn off the auto-complete email function to prevent the system suggesting email addresses in the recipient’s box; and 

·        use the NCSC email security check tool.

Under data protection law, organisations must have appropriate technical and organisational measures in place to ensure personal information is kept safe and not inappropriately disclosed to others.

Organisations that use and share large amounts of data, including sensitive personal information, should consider using other secure means to send communications, such as bulk email services, so information is not shared with people by mistake.

Organisations should also consider having appropriate policies in place and training for staff in relation to email communications.

For non-sensitive communications, organisations that choose to use BCC should do so carefully to ensure personal email addresses are not shared inappropriately with other customers, clients, or other organisations."

From the ICO

LEAP have issued a new, updated spec sheet (they call it System Requirements) on 31st July 2023.

Here is a link for easy access.

For assistance with using your LEAP:

Here is a link

We have worked with LEAP since 2015 as implementation consultants, implementing into hundreds of businesses in the UK & abroad. In addition to implementing, setting up & initial training we also

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A few Testimonials:

(For more visit our Testimonials page)

Jade Collier - Finance Manager at Wilson Davies Solicitors

"Excellent service from Brenda and Ingemar. They went above and beyond to ensure the transition to our new system ran smoothly. Would Highly recommend."

Vas Constantinou – Partner at Tyrer Roxburgh:

"A huge thank you to Ingemar and Brenda at Hunnings Consultancy who have provided clear, precise and excellent training in installing Leap as our new case management system. You have provided an excellent service throughout and have always gone over and beyond to help us, making this transition a smooth process."

Maxine Johnson:

"The training was excellent. I found Ingemar to be incredibly helpful, knowledgeable and easy to work with. I would highly recommend Hunnings Consultancy Ltd."

Helen Dickie MD of MD Law in Cardiff:

Thoroughly enjoyed my training with Ingemar! Not only did I have the opportunity to expand my knowledge in the firm’s investment into LEAP it was very useful to consider profit revenue and risk/compliance utilising the tools within LEAP to assist. Enjoyed the remote training session- thank you!!

"We at Spires Legal wholeheartedly recommend Ingemar and his team at Hunnings Consultancy Ltd. Ingemar has supported us throughout our journey from new start up to established firm. It is refreshing to have a consultant that takes the time to understand your business and its priorities, stands by your side as it develops and is flexible in approach as your needs change.
The feedback we have from our team, and which we regularly hear from others is that Ingemar is an insightful and knowledgeable trainer who is comprehensive yet engaging in his approach. Still unsure? Five minutes on the phone with Ingemar and you will be sold on how much value he can add to your business!"

Arj Arul - Director at Spires Legal

Click here to see more testimonials

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