2023 Compliance for Law Firms - How to Avoid SRA Enforcement

Introduction

The SRA is currently actively reviewing firm compliance with the legislative requirements of the Money Laundering Regulations and the SRA Transparency Rules and have openly stated that they expect to see evidence of full compliance when conducting their review.

Recent reporting has evidenced that they will take, and indeed have taken, enforcement action against those firms who cannot demonstrate compliance.

Delivered by compliance expert Tracy Thompson, this virtual classroom seminar will provide practical guidance to assist firms understand how to comply with their obligations.

What You Will Learn

This live and interactive session will cover the following:

• SRA Transparency requirements - key requirements and considerations
• Money Laundering - regulation 18 firmwide risk assessment - key requirements and considerations
• What does a compliant regulation 18 risk assessment look like?
• SRA AML practice visits - what to expect

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.