Course description
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. It will also look at SRA Transparency requirements, Money Laundering - regulation 18 firmwide risk assessment (including what it looks like), as well as what to expect from SRA AML practice visits.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
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 new 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
Expenses
MBL Seminars Limited
With over 1,000 expert speakers covering more than 3,360 different topics, our course portfolio is vast and can be delivered either online or in-person. With over 450 years of collective professional development experience, we are proud to be trusted to...