Archives: Conduct, practice and risk management

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SRA – AML sectoral risk assessment

April 2024 | Conduct, practice and risk management

The SRA has updated its AML and terrorist financing sectoral risk assessment. The UK government periodically undertakes a national risk assessment pulling together risk-based information from all sectors in scope of the AML requirements, law enforcement and other sources. The SRA reminds firms that all firms that are within scope of the Regulations must comply …

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SRA – MLRO guidance

March 2024 | Conduct, practice and risk management

Practitioners should be reminded about the helpful guidance for new MLROs and MLCOs which the SRA published some time ago. It is the sort of content that could get lost in the daily grind of the roles. What is particularly helpful is the checklists for those in each role broken down into first day, first …

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