Why Do I Need An AML Audit?
★★★★★
Phillip Thompson
Watson Ramsbottom Solicitors
★★★★★
Neil Puttock
Footner and Ewing LLP
★★★★★
Francis Eigbefoh
Francis Solicitors Limited
Content
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?
Resources
The webinar slides can be downloaded below:
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Speakers
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.