DG Legal: Why Do I Need An AML Audit?

28th July 2021 at 1:00 pm - Online

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 audit function.

In this free 15 minute webinar, Pat Estabrook of DG Legal will provide a brief overview of whether and why firms need an AML audit. The webinar will cover:

  • 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 audit is done. What now?

Recording and Registration

After the event, we will provide details of how to view the recording and slides to everyone that registers for this free webinar.