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You are here: Terms and Conditions  >  Glossary

Anti Money Laundering Regulations duty to report

Under the anti money laundering regime, SWAT UK falls within the regulated sector and will have to report to the National Crime Agency any specific information disclosed to us during any conversations if it amounts to knowledge or suspicion of money laundering. However, we are relevant professional advisers under the regulations and as such must not report knowledge or suspicion obtained in privileged circumstances.

Bespoke Membership

SWAT UK’s Bespoke membership includes a range of entitlements, tailored to your firm’s requirements for training and compliance, as well as your budget. Bespoke membership is available to firms with a portfolio costing at least £2,000.

Booking and orders

Bookings and orders may be made online on the SWAT UK website www.swat.co.uk, by emailing courses@swat.co.uk, or by telephoning 0845 450 5555.

Communications Services

Social media sites such as, but not limited to,  LinkedIn, Facebook and Twitter, which may contain bulletin board services, chat areas, news groups, forums, communities, personal web pages, calendars, and/or other message or communication facilities designed to enable you to communicate with the public at large or with a group.

Consultancy

SWAT UK provides a range of consultancy services to its clients, all carried out by experienced technical staff:

  • compliance and file review days as on-site support days (1/2 or full day);
  • electronic or postal reviews of your files;
  • via our telephone helpline for specific queries.

Copyright

Click here for details of SWAT UK’s Copyright policy

Course credits

Course credits can be used by any principal or employee of your firm on any SWAT UK courses at any of our venues, and on all webinars and webinar recordings. There are no limits to the number of course credits that can be used on any one course, subject to places being available.

Course credits are valid for CPD courses, technician courses, staff workshops and student workshops. This includes SWAT UK's Certificate in Probate and Estate Administration courses, webinars or assessment days and the ICAEW Chartered Accountants South West (SWSCA) Charities Conference.

Course credits are not valid for specialist conferences, in-house courses (including IT courses run in-house) or multi-media courses.

Course documentation

Public courses: Course documentation is only provided to those who book to attend the event concerned. Those who do not attend a course for which they have booked will be sent an electronic copy of the notes for their sole use.

Webinars – live and recorded: Course documentation is only provided to those who book to view the webinar concerned. Notes for live webinars will be made available to download from the “My Account” area of the SWAT UK website, prior to the webinar taking place. Notes for webinar recordings will be available to download from the SWAT UK website directly, at the time of watching the recording (subject to the approval of each course writer). Printed copies of notes are not supplied for either live webinars or webinar recordings. They are however available to download, allowing the individual user to save and/or print them.

In-house courses:  Course documentation can be emailed to you in PDF password protected format. This allows you to view and print copies of the material for your course or conference delegates. However, you are not able to copy and paste the text.

All courses: Where the copyright in the course documentation is owned by a third party, such as an external lecturer, we can only provide course documentation with that third party’s explicit permission.

For full details of our Copyright terms and Conditions relating to SWAT UK's course documentation, please click here 

Discounts

Firms may purchase Course Credits which provide a discount of up to 50% on the full course fees, depending on the number of credits purchased.

Other discounts are available as follows:

  • 50% discount for the second and subsequent person in your firm to watch the same live webinar or the same webinar recording (see below for details).
  • 50% discount for ICAEW members and staff from a firm with an ICAEW member to book live webinars and webinar recordings.
  • 50% discount on all courses for ATT individual members.
  • Members of CPA Australia and Chartered Accountants Australia and New Zealand are eligible to purchase course credits at our lowest rate, thereby also enjoying a 50% discounts.
  • 50% discount for ICAEW Chartered Accountants South West members and staff from a firm with an ICAEW Chartered Accountants South West member to attend public courses within the ICAEW Chartered Accountants South West area ( ie Yeovil, Taunton, Exeter, Plymouth & Fraddon), in addition to live webinars and webinar recordings as above.

Click here for full details of our Discount schemes  

DocSAFE

Click here for details of SWAT UK’s secure client portal, DocSAFE 

Exclusions from memberships and subscriptions

Training included within the Membership and within Training Subscriptions excludes attendance on:

  • SWAT UK's Certificate in Probate and Estate Administration courses, webinars or assessment days;
  • the ICAEW Chartered Accountants South West (SWSCA) Charities Conference; and
  • other conferences organised by SWAT UK on behalf of third parties.

Expenses

Expenses incurred by SWAT UK staff in travelling to your office or other venue (eg for conferences) are charged in addition to the normal fee. Expenses include accommodation expenses and/or standard class travel or mileage at the current rate. However, Full and Reduced members and Bespoke members are not normally charged travelling or accommodation expenses or travelling time for on-site  support days or in house courses delivered by SWAT UK personnel. The expenses of external lecturers may be charged. 

Hot audit file reviews

A hot audit file review is undertaken prior to the signing of the audit report, to identify any key areas that need to be addressed before the assignment is signed off.

ICAEW AML Systems

ICAEW has partnered with SWAT UK to develop the ICAEW Anti Money Laundering Service to raise firms’ awareness of their AML obligations and help them implement correct procedures. The service provides both guidance and the necessary tools to help you comply with the regulations.

There are three different systems, Basic, Standard and Complete, depending on the level of your client profile.

In-house courses

Many of SWAT UK’s “off the shelf” CPD courses can be delivered to you in-house. Should you require a course specifically tailored to your needs, this can be agreed with you at an additional cost. Our courses can also be incorporated into a conference programme.

Lecturers - SWAT UK and External

SWAT UK lecturers are those technical staff, employed by SWAT UK, who have a wide range of expertise in all aspects of audit, tax and accounts. They are used widely for consultancy work, lecturing on our courses, and for answering technical queries. SWAT UK charges them out at our standard rates.

From time to time, SWAT UK uses external lecturers to deliver our courses, often because of the specialist technical knowledge that they bring. These external lecturers may cost more, a cost that is reflected in the fee that we may charge for a public, webinar or in-house course. Where the copyright in course documentation is owned by a third party, such as an external lecturer, we can only provide course documentation with that third party’s explicit permission. An external lecturer’s accommodation and travel expenses, may be charged to clients, including Full and Reduced members and Bespoke members.

Linked Sites

Links on the SWAT UK website to third party sites which are not under the control of SWAT UK.

Live Webinars - see Webinars

Loyalty Members

Both Full and Reduced Members are classed as Loyalty Members after 5 full years of Membership, and then receive a 5% discount on their Membership fees.

Membership – Full and Reduced

SWAT UK’s comprehensive Full Membership group scheme provides a range of entitlements including unlimited training for staff, on-site support days and unlimited access to our Technical Queries helpline for queries that can be fully answered within 30 minutes. It is available to firms with 4 or more Trainable Individuals; the level of support days and the cost depend on the total number of Trainable Individuals within the firm.

Reduced Membership is similar to Full Membership, but includes fewer support days and excludes free Technical Queries.

See also Loyalty Members 

Money Laundering Reporting Officer Support Service

An annual Support Service for Money Laundering Reporting Officers, designed to ensure that your firm remains compliant with the Money Laundering regulations. It includes:

Non-attendance and Fair usage policy

Firms who are members of SWAT UK or who have bought a Training Subscription have unlimited access to public courses and webinars (depending on the subscription purchased). Out of courtesy to other clients, these firms are requested to notify us (in writing or via an email with a read receipt) at least 10 working days before the course is scheduled to run, if any of their staff are unable to attend a public course or live webinar they have previously been booked on.

It may not always be possible to attend every course that is booked. However, in the past, some firms have block booked places on courses but not attended, thereby denying others from attending. As a result, where individuals from a Member firm or a firm with a Training Subscription are booked to attend 10 or more courses but fail to attend 50% or more, and do not give us written confirmation within 10 working days of the courses that they are cancelling, SWAT UK reserves the right to charge the firm a cancellation fee equal to half of the published course fee.

SWAT UK also operates a fair usage policy for our Training Subscriptions. The aim of the subscription is to enable firms and individuals to meet all their training needs within the fixed monthly payment. Unfortunately, a very small number of clients abuse the unlimited nature of the package. If a client’s usage is excessive, unfair or affects other clients’ enjoyment of our training we will first raise our concerns with that client. However, in extreme cases we reserve the right to increase the subscription charge for the firm or individual or to cancel the subscription.

Principals

Principals are defined as all owners of your firm whether sole practitioners, partners, members of limited liability partnerships or directors of a limited company.

Public courses

Public courses are CPD courses run by SWAT UK at various public venues around the UK. Public courses may be attended by any member of the public on payment of the appropriate fee, or if their firm has purchased the relevant Membership, Training Subscription or Course Credits.

Student workshops are also held at our London venue to teach and improve practical skills at work.

Recorded Webinars - see Webinars

SWAT UK Certificate in Probate and Estate Administration

SWAT UK offers a 2 day training course followed by a 2 hour assessment leading to a Certificate in Probate and Estate Administration, which forms part of your application to ICAEW for authorisation.

SWAT UK Webinar recording player

SWAT UK has produced the SWAT UK Recordings App which is free of charge to download. This allows you to watch your recorded webinars by streaming them when you have an internet connection, or downloading them to watch offline at other times, e.g. when travelling.

There are versions of the app for:

  • iOS (iPad and iPhone)
  • Mac (computer)
  • Android (tablet and phone)
  • Windows (computer, tablet and phone).

Submissions

Materials you provide to SWAT UK (including feedback and suggestions) or post, upload, input or submit to any SWAT UK website or SWAT UK social media site or its associated services.

Training Subscription – Per Person, Firm-wide and Firm-wide Webinar

Per Person Training Subscription – giving unlimited access to all public CPD courses held in all our venues across the country. This does NOT include webinars or webinar recordings, or staff or student workshops. Firms can select which staff are included in the Per Person Training Subscription.

Firm-wide Training Subscription – giving unlimited access for your principals and staff (known as Trainable Individuals) to all SWAT UK public training courses, our live webinars, and webinar recordings. This includes CPD courses, technician courses, staff workshops and student workshops. All professional staff, defined as all principals, consultants and technical staff who carry out any chargeable client work, must be included in this subscription (regardless of training needs). Part time staff will be counted as being full time for the purposes of your subscription.

Firm-wide Webinar Training Subscription - giving all staff unlimited access to all live and recorded webinars. This does NOT include attendance on public training courses. All professional staff, defined as all principals, consultants and technical staff who carry out any chargeable client work, must be included in this subscription (regardless of training needs). Part time staff will be counted as being full time for the purposes of your subscription.

Technical Query helpline

The Technical Query (TQ) helpline enables you to get practical answers to a range of questions across a number of areas. A member of our technical staff will discuss the query with you and give advice over the telephone, followed by a written note of the query setting out the question asked and the answer given.

Access to the TQ helpline is free to SWAT UK Full Members for queries that can be fully answered within 30 minutes including research time, documenting the query and emailing the answer to you. Any time in excess of that is chargeable in 15 minute units.

Trainable Individuals

Trainable Individuals are such principals, consultants, employees (and may include sub-contractors) of your firm as shall be agreed from time to time in writing between SWAT UK and the firm. They exclude secretaries and administration staff, and any other staff excepted by agreement between the firm and SWAT UK. Principals shall be defined as all owners of the firm whether sole practitioners, partners, members of limited liability partnerships or directors of a limited company.

Use of Services – time limit

The entitlements included within SWAT UK’s Full, Reduced and Bespoke Memberships,  Training Subscriptions and Manual Subscriptions must be used within the 12 month period of the Membership or Subscription. However, Course credits are valid for 24 months from the date of purchase (or from the commencement of a Bespoke membership agreement). Unused entitlements will normally be lost; they will only be carried forward into the following membership period in exceptional circumstances at SWAT UK’s sole discretion.

Webinars

SWAT UK makes available via its website a wide range of webinars, both live and recorded. These include CPD courses, Technician courses and Staff workshops. Some webinars are now being made available in video format. Recorded webinars may also be watched via the SWAT UK webinar recording player.

Website Course Administrator

Each firm should have one or more people assigned the role of Website Course Administrator. When a new firm is added to the database, the role of Website Course Administrator will be assigned to the first person to be registered as a contact. Website Course Administrator status allows the assigned person to book anyone in the firm on to a course, to add new individuals to our database and to amend the details of any of the individuals entered on the database. It is the responsibility of the Website Course Administrator to ensure that individuals’ details are correct.

Website Selfbooker

The status of Website Selfbooker allows an individual to book their own courses with SWAT UK. When a new contact is added to a firm, whether by registering on the SWAT UK website themselves or added by a member of SWAT UK staff, they are automatically allocated the status of “Website Selfbooker”.