Last month’s webinar focusing on preparing for an AML audit by the SRA is now available to purchase.
The 50 minute webinar focused on the following areas:
- Selection and pre-assessment: understand what to expect from proactive SRA visits.
- What does the communication from the SRA look like and what do they request?
- Common and costly misconceptions
- Errors and omissions that most firms make
- What will happen after the visit?
- Implications of adverse audit – beyond a financial penalty
- How technology can not only mitigate risk but also provide evidence of compliance
The webinar will also touch upon Firmwide Risk Assessments, AML Policies and Client Matter Risk Assessments.