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, we will 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 will 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.
Target Audience
This free webinar is aimed at firms MLROs, COLPs, COFAs, and compliance professionals in the regulated sector.