Compliance update no 1. 2022

Recorded on: 24/02/2022

The first in our twice-yearly compliance updates from Trevor Hellawell will focus on several recent and topical consultations, and the ultimate responses. It will look at key issues emanating from the SRA and a run-down of enforcement steps taken in response to the recent round of investigations under the Legal Sector Affinity Group guidance on AML procedures. It will also feature the ongoing regulatory interest in the development of the transparency rules, and the roll-out of the SQE and its implications for the recruitment of trainees.

The following will be covered:

  • New cybercrime clause in PII policies
  • SRA investigation of AML procedures – an update
  • SRA continued enforcement activity over transparency
  • Other SRA activity
  • SQE update – QWE implications
  • SAR update
  • Post-Covid considerations


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