Preparing your law firm for an SRA visit

Date:
17/05/2022 2:00 pm
Speaker(s):
Kate Burt, HiveRisk.co.uk
Venue:
Online

The SRA visit law firms for a number of reasons. This may be as part of a proactive visit as part of their rolling programme, an onsite investigation where they have received a report about a firm, or they may need to come to your firm’s office as part of their thematic work, where they have an additional focus on particular aspects of a firm’s AML activities.

In this session, we will be covering the following areas to put you ahead of the game should you receive notice that your firm will receive a visit:

  • An overview of obligations for your firm, your officers and your staff
  • What documents you will be expected to disclose
  • Who will they want to speak to and what are they likely to ask?
  • How to be proactive in this area