Legl and HiveRisk have teamed up to help firms navigate the unpredictable waters of SRA visits. With the continuous monitoring of AML regulation compliance, any interaction — be it a desk based review, onsite visit or involvement in the SRA’s thematic work — can be a potential stress test for your firm.
in this session, HiveRisk's founder, Kate Burt, explores how your firm can ensure that it is ever-ready for an SRA visit:
- What the SRA and LSAG have said about AML obligations and compliance.
- What to expect from proactive SRA visits.
- How to prepare for and manage the visit effectively.
- How firms can adopt strategies to get audit-ready, and stay audit-ready.
- How technology like Legl can streamline risk and compliance, with MLRO firm wide oversight, ongoing monitoring, and comprehensive audit trails.
Listen to the experts as they offer advice on turning potential stress points into compliance proficiency.