Directions and Guidance
The Faculty Office issues directions to clarify rules. It also offers guidance. Guidance is often based on feedback from the reports of the Inspectors but might address practical issues following rule changes such as the price (transparency) information requirements (see below) which came into force in December 2019.
There are also links to useful external websites and information such the Guide issued by the Legal Ombudsman to handling complaints.
Restrictive covenants in employment contracts:
The Master was asked to provide a direction in the case of a notary, also practising as a solicitor and employed as such by a firm of solicitors, who had been requested by the notary’s employers to agree to certain restrictive covenants contained in a contract of employment to be issued by the firm of solicitors.
Guidance derived from the Master’s ruling can be downloaded here; this discusses issues arising under the Notaries Practice Rules 2019.
Practice Matters
The Faculty Office has issued guidance notes on topics which have been identified by the Inspectors although a new guidance note would also be issued, for example, to cover practical aspects of key rule changes.
When a new Guidance Note is completed (or updated) it is posted as news and emailed to all the profession but it is also published on this page.
All directions and guidance issued
- Money Laundering and Terrorist Financing (Amendment) Regulations 2026 – Commencement UpdateThe majority of the provisions in the Money Laundering and Terrorist Financing (Amendment) Regulations 2026 (SI 2026/621 came into force on 30 June 2026, 21 days after the instrument was made on 9 June 2026. These amendments make targeted changes to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations… Read more: Money Laundering and Terrorist Financing (Amendment) Regulations 2026 – Commencement Update
- Standard for Verifying Identity Using Digital ChecksIt has become acceptable practice to check the identity of a client or appearer using digital checks. The Faculty Office has now published guidance on what a notary should do to satisfy themselves of identity when using digital checks. The guidance contains the technical requirements that most industry standard third party digital identity checking tools… Read more: Standard for Verifying Identity Using Digital Checks
- Consolidated Notaries Accounts Rules 2026Following approval by the Legal Services Board of the new Notaries Accounts Rules 2026, these have now been made by the Master and come into effect on 1st July 2026. The new rules are a consolidation and updating of the Notaries Accounts Rules 1989 (as amended), the Notaries Trust Accounts Rules 1989 and the Notaries… Read more: Consolidated Notaries Accounts Rules 2026
- Update to the Code of Practice: Two New Chapters AddedThe Code of Practice has been updated to include two new chapters designed to support notarial practice in a digital and remote working environment. The new chapters are: Alongside these updates, notaries are also referred to the following guidance materials: Please note that the Guidance does not form part of the Code of Practice. Notaries… Read more: Update to the Code of Practice: Two New Chapters Added
- FCA Publishes Review of Sanctions Systems and ControlsThe Financial Conduct Authority (FCA) has published a report entitled Sanctions Systems and Controls: Our Firms, Our Findings, setting out observations from its review of sanctions controls across a range of regulated financial services firms. The report is directed at FCA-regulated firms rather than notarial practices. However, it provides a useful indication of the areas… Read more: FCA Publishes Review of Sanctions Systems and Controls
- New Notaries (Conduct and Discipline) Rules 2026 now in forceThe following rule changes came into effect from 28 April 2026, replacing the previous 2015 framework. The new set of rules: • split out the investigative and the prosecutorial function presently carried out by the Nominated Notary and allow non-notaries to discharge those functions • bring in new administrative powers which could be used instead of… Read more: New Notaries (Conduct and Discipline) Rules 2026 now in force
- Single List for UK Sanctions DesignationsFrom 09:00 GMT on Wednesday 28 January 2026, the UK government will move to a single sanctions list. The UK Sanctions List (UKSL) will become the only official list containing all UK sanctions designations. The OFSI Consolidated List and its search tool will no longer be updated after this date. You are able now to… Read more: Single List for UK Sanctions Designations
- The UKFIU has published the three new SARs Best Practice Guidance documents:Chapter 1: Using the SAR Portal Chapter 2: Submitting a SAR Chapter 3: Understanding DAMLs and DATFs The updated guidance, together will all other UKFIU products, can be accessed via the NCA website using this link: UKFIU Guidance Library This updated guidance replaces all previous UKFIU guidance, which has now been withdrawn and should be disregarded.… Read more: The UKFIU has published the three new SARs Best Practice Guidance documents:
- Spotlight on recent FCA enforcement action and guidanceThe FCA has recently fined Monzo Bank Ltd for its inadequate systems and controls which resulted in it failing to identify suspicious activity. In particular, Monzo failed to operate adequate customer onboarding, customer risk assessments and transaction monitoring systems to mitigate the risk of financial crime. The FCA summary of the action and the Final… Read more: Spotlight on recent FCA enforcement action and guidance
- Financial Action Task Force (FATF) – Update to the Grey-ListThe Financial Action Task Force (FATF) announced the removal of the following countries from the grey-list For further details about the recent update on Jurisdictions under Increased Monitoring please visit Jurisdictions under Increased Monitoring – 24 October 2025
- Suspicious Activity Reporting – Best PracticeThe UK Financial Intelligence Unit (UKFIU) has created a series of six best practice videos to assist in submitting better quality Suspicious Activity Reports (SARs). The videos are available on YouTube and cover the following topics: The playlist can be accessed using this link: https://www.youtube.com/playlist?list=PLvYg7_Lx5KSpLIG5icPwi2ZMPCsIgvHBm
- Update to the Assurance Policy 2025The Faculty Office’s regulatory approach is set out in its Assurance Policy which has been updated to reflect changes in its risk-based approach. Summary of key changes: Context We have added more signposting to the relevant Rules and Guidance that apply to notaries (page 2-3), to help improve clarity and accessibility. Risk Model The previous… Read more: Update to the Assurance Policy 2025
- Proceeds of Crime (Money Laundering) (Threshold Amount) (Amendment) Order 2025 is now in force as of 31 July 2025.The updated guidance on reporting obligations is now available on GOV.UK and can be accessed directly via the following link: Guidance on money laundering reporting obligations.
- National Risk Assessment of Money Laundering and Terrorist Financing 2025The 2025 National Risk Assessment (NRA) is the UK’s 4th Assessment of Money Laundering (ML) and Terrorist financing (TF), jointly developed by HM Treasury and the Home Office. The NRA draws on information collected by the Government, supervisors, law enforcement agencies, and the private sector. This updated assessment takes account of the latest developments and… Read more: National Risk Assessment of Money Laundering and Terrorist Financing 2025
- FATF update to High Risk CountriesThe FATF June Plenary has added Bolivia and the British Virgin Islands (UK) to the list of jurisdictions under Increased Monitoring, also known as the “grey list”. These are countries that have strategic AML/CFT deficiencies but have committed to work with the FATF to resolve them quickly. If your clients or matters have links to… Read more: FATF update to High Risk Countries
- Guidance on sexual impropriety and sexual misconductThe Faculty Office has produced guidance on sexual misconduct and sexual impropriety. This guidance is intended for notaries, including those who serve as supervisors, employers or inspectors. It also relevant to Faculty Office staff. As the Faculty Office regulates and authorises notaries on an individual basis, this policy applies to notaries individually and not to… Read more: Guidance on sexual impropriety and sexual misconduct
- The importance of independence and non-delegable dutiesNotaries work in a variety of different business structures. However, they each owe a duty to adhere to professional rules. The Faculty Office has published guidance to clarify the application of the rules for notaries working or considering working in those contexts, with an emphasis on two main characteristics: 1. Independence 2. Personal adherence to… Read more: The importance of independence and non-delegable duties
- Legal Sector Affinity Group (LSAG) Guidance Update 2025The Legal Sector Affinity Group (LSAG) has published the latest update to its Anti-Money Laundering (AML) Guidance for the Legal Sector 2025. Below is a schedule of the amendments: 2025 amendments and updates Paragraph Amendment 4.2.2 Changed “25% or more” to “more than 25%” 4.7 Added information regarding the economic crime levy: You must also… Read more: Legal Sector Affinity Group (LSAG) Guidance Update 2025
- Failure to Prevent Fraud offenceThe “failure to prevent fraud” offence contained in sections 199-206 of the Economic Crime and Corporate Transparency Act 2023 will come into effect on 1 September 2025. The Government has produced guidance (November 2024) on this new offence to which the attention of notaries is drawn.
- Companies House requirements to register as an Authorised Corporate Service Provider (ACSP)On 18 March 2025, Companies House will launch their new ‘Apply to register as a Companies House authorised agent’ service. Companies House authorised agents must comply with the following legal requirements: 4. The agent must keep records of any identity checks for 7 years, if they have verified someone’s identity for Companies House For more… Read more: Companies House requirements to register as an Authorised Corporate Service Provider (ACSP)
- Warning – Scam AML supervisory return email purporting to be from HMRCGuidance to Notaries
- Important Cybersecurity GuidanceNotaries are reminded of the importance of safeguarding their systems against cyber threats. In the event of security breaches or system compromise, we encourage you to seek guidance from the National Cyber Security Centre (NCSC). The NCSC provides valuable Government resources and guidance to help mitigate risks and protect sensitive information. Please stay vigilant and… Read more: Important Cybersecurity Guidance
- HMT Advisory Notice – High Risk Third CountriesHM Treasury has issued guidance on risks posed by jurisdictions with unsatisfactory money laundering and terrorist financing controls. An “HRTC” is defined as “a country named on either of the following lists published by the Financial Action Task Force as they have effect from time to time. Key points to note:
- Practising Certificate Renewals 2024/25The window to renew practising certificates is now open until 31 October. Please login to your NotaryPRO account. Following feedback, we have made a number of improvements to the renewal forms which can now be saved at any point and you are able to complete the form in any order. Once you have completed all… Read more: Practising Certificate Renewals 2024/25
- OFSI General Licence – INT/2023/3749168 Israel, the Occupied Palestinian Territories and Lebanon humanitarian activity amendedOn 09 October 2024, General Licence INT/2023/3749168 was amended to include: • Extending the scope of the General Licence to incorporate Lebanon. • Extending the length of the General Licence by six months. • Amending the deadline for Reporting Requirements to fall on 13 November 2024 and the 14 December 2025. To see the General… Read more: OFSI General Licence – INT/2023/3749168 Israel, the Occupied Palestinian Territories and Lebanon humanitarian activity amended
- Website Spot Check – Rule 14.2 of the Notaries Practice Rules 2019Under Rule 14.2 of the Notaries’ Practice Rules 2019 notaries must ensure that clear information on pricing, redress, service, complaints and regulatory information is available for the public to access on their websites. This includes: To check the level of compliance the Faculty Office completed a desk-based review of a sample of websites supplied by… Read more: Website Spot Check – Rule 14.2 of the Notaries Practice Rules 2019
- Review of AML Policies 2024As part of the practising certificate renewal application for 2023, Notaries were required to submit a copy of their Anti-Money Laundering Policies & Procedures (including Firm Wide Risk Assessments). The Faculty Office undertook a review of a sample of the documents provided alongside the information included elsewhere in the practising certificate renewal application . The… Read more: Review of AML Policies 2024
- Legal Services General Licence – UpdateOn Monday 29 April 2024, a new General Licence came into effect covering legal services – General Licence INT/2024/4671884 (the General Licence). This replaced General Licence INT/2023/3744968 which expired on Sunday 28 April 2024. For additional information please visit Legal Services General Licence page on GOV.UK.
- Money Laundering Regulations – UpdateOn 14 December 2023, statutory instrument 2023 No. 1371 (SI 2023/1371) known as the Money Laundering and Terrorist Financing (Amendment) Regulations 2023 (the SI) – was released, along with an explanatory memorandum. The SI modifies the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the MLRs) to clarify distinctions between domestic and non-domestic politically… Read more: Money Laundering Regulations – Update
- Israel and the Occupied Palestinian Territories Humanitarian Activity General Licence issuedThe Office of Financial Sanctions Implementation (OFSI) has the power to issue General Licences for country and thematic sanctions regimes under the Sanctions and Anti-Money Laundering Act 2018. On 14 November 2023 (followed by amendments on 20 December 2023), OFSI issued a General License (General Licence INT/2023/3749168) to facilitate the delivery of humanitarian assistance to… Read more: Israel and the Occupied Palestinian Territories Humanitarian Activity General Licence issued
- Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) Regulations 2024On, 22 January 2024 the HM Treasury (HMT) issued Guidance on the changes to The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the MLRs), amending the definition of High Risk Third Countries (HRTC). The changes are as follows: Schedule 3ZA is repealed. High risk third countries (HRTCs) will now… Read more: Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) Regulations 2024
- High Risk CountriesThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the ‘MLRs’) require the UK regulated sector to apply enhanced customer due diligence in relation to high-risk third countries The list of high-risk countries is set out in schedule 3ZA of the Money Laundering, Terrorist Financing and Transfer of Funds (Information… Read more: High Risk Countries
- Addendum to the 2023 edition of the Legal Sector Affinity Group GuidanceThis addendum contains legislative updates and shows a change in LSAG’s position and expectations. The areas covered include: Economic Crime Levy considerations for larger firms Discrepancy Reporting Guidance Registers of Overseas Entities update Changes brought in by the Economic Crime Act, including a new POCA de minimis limit of £1,000 A definition of Supply Chain… Read more: Addendum to the 2023 edition of the Legal Sector Affinity Group Guidance
- Website Spot Check – Rule 14.2 of the Notaries Practice Rules 2019Under Rule 14.2 of the Notaries’ Practice Rules 2019 notaries must ensure that clear information on pricing, redress, service, complaints and regulatory information is available for the public to access on their websites. This includes: The basis upon which the notary calculates their fees for their services (price information); A brief outline of the services… Read more: Website Spot Check – Rule 14.2 of the Notaries Practice Rules 2019
- Criminal Record Checks – GuidanceThe Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 provides a list of certain professions and employment that are excepted from the application of the 1974 Act for which complete knowledge about a person’s background is required for the protection of the pubic. Since 2023 the profession of notaries has been an excepted profession which… Read more: Criminal Record Checks – Guidance
- The Legal Sector Affinity Group (LSAG) updatesThe Legal Sector Affinity Group (LSAG) has published the latest update of its HM Treasury approved guidance on preventing money laundering in the legal sector. The changes reflect the recent amendments to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 and include: Guidance on the new requirement to… Read more: The Legal Sector Affinity Group (LSAG) updates
- High Risk CountriesThe list of high-risk countries is set out in schedule 3ZA of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. The Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) (No. 3) Regulations added Democratic Republic of the Congo, Mozambique and Tanzania to the list of High-Risk Countries and… Read more: High Risk Countries
- Proliferation FinancingThe Money Laundering and Terrorist Financing (Amendment) (No. 2) Regulations 2022 which came into force in September 2022 have created a new obligation for regulated entities to identify, assess and mitigate the risk of proliferation financing. Key points to note: “Proliferation financing” means the act of providing funds or financial services for use, in whole… Read more: Proliferation Financing
- Legal Sector Affinity Group (LSAG) – Advisory NoticeThis notice is supplementary to the main LSAG guidance and does not supersede it. The guidance explores the key risks arising from the legal and illegal use of informal value transfer systems in the Chinese context, along with the circumvention of Chinese foreign currency controls. It also provides practical measures to help mitigate these risks.
- Guidance on remote notarisationThis guidance aims to assist notaries in deciding whether it is appropriate to authenticate the signing or execution of a document or otherwise intervene remotely using remote technologies and sets out the procedures to be adopted in such cases.
- Continuing Professional Education Requirement 2022Under the Notaries (Required Continuing Professional Education)(Anti-Money Laundering Training) Order 2022 at least one of the credit points required to be obtained by each notary, whether as part of the basic or special continuing professional education requirement, must be obtained in the subject of anti-money laundering and counter terrorism financing applicable to the United Kingdom.
- Notaries Enforcement GuidanceThe Faculty Office has issued guidance setting out how it exercises discretion in dealing with deficiencies when carrying out risk assessments. The guidance seeks to promote consistency, transparency and fairness in our administrative and enforcement processes and provides a basis for our decision making.
- Covid-19: Guidance on remote notarisationThe Faculty Office has issued guidance to assist notaries in determining whether it is appropriate to authenticate the signing or execution of a document remotely using video conference technology at a time when social distancing measures apply such as to preclude meeting individuals in person.
- Spot Check – Price InformationOn 2 December 2019 Rule 14.2 of the Notaries’ Practice Rules 2019 came into force requiring all notaries publicising their practice via a website to ensure that clear information on pricing, redress, service, complaints and regulatory information was available for the public to access on their websites. In advance of this the Faculty Office reviewed… Read more: Spot Check – Price Information
- Anti Money Laundering (AML) Risk Assessment ReviewAs part of the practice certificate renewal application for 2020, the Faculty Office required notaries to submit a copy of their practice risk assessment. All notaries are required to complete a risk assessment under Regulation 18 of Money Laundering and Terrorist Financing Regulations 2017 (“MLR 2017”). At the start of 2020 the Faculty Office undertook… Read more: Anti Money Laundering (AML) Risk Assessment Review
- Price Transparency Briefing NoteNote 3 deals with the new practice rules on price and service transparency which come into force on 2 December. Link to briefing note
- Anti-money LaunderingNote 2 is on Anti-money Laundering. Guidance Note 2: Anti-money Laundering (Chapter 10) We are launching a series of Guidance Notes on the Code of Practice offering guidance on notarial practice based on the feedback from the Notary Inspections. Note 1 (link below) is on record keeping and file storage. Guidance Note 1: Record keeping… Read more: Anti-money Laundering