Top Tips for AML Compliance

In this series, I cover my Top Tips for AML Compliance, here are the first 10……1) Evidencing you have taken your supervisor’s risk assessment into account when preparing your own. All firms must have regard to their supervisor’s risk assessment when preparing their own. (Reg18(2)) Make sure it is mentioned…

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Ark Group Conference Panel

I attended the Ark Group Annual AML Conference in London yesterday to speak on the panel about the challenges for MLROs who are also fee earners in their firm.The session posed questions to the audience, and we, the panel, put our two penneth in.Joining me on the panel was Alex…

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5 things lawyers need to know about AML

(Originally published on Ark Group’s Website) With the SRA reporting last week that 44% of the firms they recently visited in an Anti-Money Laundering (AML) thematic review have been referred through to their disciplinary procedure, the level of compliance in law firms has again been called into question…There have also…

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Time to audit data compliance?

We’re nearly a year since the frantic preparations for GDPR. How is it all going? Should we be checking? Should we audit?Why do I need to complete an audit?An audit allows an Organisation to understand whether it is complying with the requirements of the Data Protection Act 2018, GDPR and…

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