AML Regulation 21 Audits Webinar: Does Your Firm Need One and What Does the SRA Expect?
Content
With increasing SRA scrutiny of AML compliance, firms must be able to demonstrate not only that they have assessed their Regulation 21 obligations, but that they can justify and evidence their decision.
In this free 30-minute webinar held on 21 July 2026, we explore when an independent audit is required under Regulation 21, what the SRA expects to see, and the common failings identified during AML reviews.
We also examine practical examples and steps firms can take to strengthen their compliance framework and ensure their approach is proportionate, risk-based, and defensible.
Whether your firm already conducts independent audits or has concluded that one is not required, this session will help you ensure your decision is properly supported and evidenced.
How we can help
To discuss how we can assist your firm meet the AML regulations, including conducting an Independent AML audit (Regulation 21 audit), preparing and updating a Firm Wide Risk Assessment, drafting compliant policies and procedures and providing AML training to your staff, please get in touch by emailing consultants@dglegal.co.uk or by calling 01509 214 999.
Target Audience
This free webinar is aimed at firms MLROs, COLPs, COFAs, and compliance professionals in the regulated sector.
Resources
The webinar slides can be downloaded below:
Donations
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Speakers
Raquel Britton | Compliance Officer | DG Legal
Raquel collaborates closely with law firms to design, implement & enhance AML frameworks tailored to their unique risk profile. She leads the development & maintenance of AML/CTF policies, procedures & Firm Wide Risk Assessments, empowering firms to meet evolving regulatory requirements & strengthen their organisational resilience. She also prepares clients for a SRA desk-based review & SRA AML investigations, providing expert guidance to ensure ongoing compliance with legal & regulatory obligations & delivering actionable solutions to address any identified risks or deficiencies.
Femi Ngele | Compliance Officer | DG Legal
Femi supports law firms with SRA AML investigations, desk-based reviews and the development and implementation of robust compliance frameworks tailored to firm-specific risks. Her work includes assisting with Firm Wide Risk Assessments, AML and compliance policies and procedures, Regulation 21 audits, CQS audits and file reviews. She also supports firms in strengthening internal controls, addressing regulatory gaps and preparing for ongoing regulatory scrutiny.