AML Audits for Solicitors
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AML audits for solicitors should examine how compliance works in practice. Are your risk assessments, policies and procedures reflected in the way your firm handles matters?
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The FCA’s High-Stakes AML Takeover of the Legal Sector
The transition from SRA to FCA oversight for AML represents an “architectural reset” of the UK legal regulatory climate. While the 2017 Regulations remain unchanged, the move to a “Single Professional Services Supervisor” replaces the SRA’s collaborative, guidance-based approach with the FCA’s assertive, data-driven enforcement. This shift aims to eliminate the fragmented supervisory landscape that…
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Regulation 21 Independent AML Audit: More Than a Regulatory Requirement
Following on from my recent blog on the evolving role of the MLRO, I realised I overlooked one critical component: the independent AML audit. The more I considered it, the clearer it became that this is not a supporting detail but something that deserves attention in its own right. Under Regulation 21 of the Money…