SRA – AML

November 2021 | Conduct, practice and risk management

We reported in our October 2021 edition (p24) on the National Risk Assessment produced by OPBAS. The SRA has just published its first professional supervisor report as required by the money laundering regulations, guidance from OPBAS and the Treasury. The SRA reports that it carried out 85 firm visits and 168 desk-based reviews. The most …

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