firm wide risk assessment
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FCA Compliance Checklist: Is Your Law Firm Ready for the New AML Supervisor?
Law firms should prioritize demonstrating the effectiveness of their existing anti-money laundering (AML) controls before the FCA begins supervision in 2028. A comprehensive FCA compliance checklist will help firms assess their current practices, risk assessments, and policies to ensure readiness. Proactive measures are essential to address potential weaknesses ahead of regulatory changes.
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The AML Evidence Chain: Why Every Document Must Tell the Same Story
AML compliance fails when risk assessments, policies and file records exist in isolation. A defensible framework requires every document and decision to connect.