Why Do I Need An AML Audit

Why Do I Need An AML Audit?


Phillip Thompson
Watson Ramsbottom Solicitors


Neil Puttock
Footner and Ewing LLP


Francis Eigbefoh
Francis Solicitors Limited


Regulation 21 of The Money Laundering Regulations 2017 requires, where appropriate with regard to the size and nature of its business, a relevant person must establish an independent AML audit function.

In this free webinar held on 28 July 2021, Pat Estabrook of DG Legal provides a brief overview of whether and why firms need an AML audit. The webinar covers:

  • We are a small firm, why do we need an independent audit?
  • What does the SRA expect?
  • What does an ‘independent’ audit really mean?
  • What is the point of an audit?
  • The AML audit is done. What now?


The webinar slides can be downloaded below:


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Pat Estabrook

Pat Estabrook, Consultant DG Legal

Pat has a hugely impressive amount of experience in compliance having worked for the Legal Complaints Service, the Solicitors Regulation Authority and as Head of Compliance of a large private law firm. Pat’s particular areas of expertise include SRA compliance, file reviews and complaints handling but she has also a wealth of practical experience in law firm management.

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