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Tag: SRA AML Checklist

  • Preparing for an SRA AML Audit? Your 2026 Checklist

    Preparing for an SRA AML Audit? Your 2026 Checklist

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    by

    Simon Seaton
    in

    The Solicitors Regulation Authority (SRA) mandates robust AML compliance as it narrows the gap between written policies and practice. Effective January 2026, firms must demonstrate mature AML systems, using AI for data validation. A comprehensive audit checklist is necessary to prepare for SRA audits, highlighting risk assessments, ongoing monitoring, and staff training.

  • December 2025: The SRA’s AML Audit Crackdown Has Arrived

    December 2025: The SRA’s AML Audit Crackdown Has Arrived

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    by

    Simon Seaton
    in

    The Solicitors Regulation Authority (SRA) is intensifying its Anti-Money Laundering (AML) enforcement, conducting a record number of audits ahead of the FCA’s expanded oversight. Firms must prioritize compliance, as deficiencies found can lead to serious consequences. A compliance checklist highlights essential steps to prepare for increased scrutiny and potential fines.