How to Prepare Your Firm for a Visit from the SRA

The SRA regularly visit law firms to monitor their compliance with AML regulations. There are number of reasons they may do this, whether it’s a proactive visit as part of their rolling programme, an onsite investigation where they have received a report about a firm, or a need to come to your firm’s office as part of their thematic work, where they have an additional focus on particular aspects of a firm’s AML activities.

In this session, we will be covering the following areas to put you ahead of the game should you receive notice that your firm will receive a visit:

  • An overview of obligations for your firm, your officers and your staff
  • What documents you will be expected to disclose
  • Who will they want to speak to and what are they likely to ask?
  • How to be proactive in this area and reduce stress should your firm be selected

Watch the webinar

Kate Burt, Head of Risk & Compliance, Legl

Kate qualified as a solicitor in 2007 and spent more than a decade as a litigator before finding her niche in law firm risk and compliance. She now advises law firms and RegTech providers nationally in relation to their regulatory obligations with a particular interest in tech innovation. Kate’s work focuses on due diligence and regulatory aspects relating to law firm PII, merger & acquisition, changing legal entity applications and new law firm start-ups.

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