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Risk and Compliance Service


Articles, guidance and best practice insight to help you manage regulatory and compliance issues

AML Audits - we can help

The SRA has identified some challenges among our members with writing a high-quality risk assessment that effectively feeds into firms’ policies, controls and procedures. They are taking an increasingly tough line on firms and the possibility of disciplinary action is mentioned where firms are found to be failing to comply with the Money Laundering Regulations 2017. Here are some resources that will help.


Webinar: What does a quality risk assessment look like? (26 June)

Listen to members of the Law Society’s AML Task force discuss ‘quality’ risk assessments with Pearl Moses.

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Risk assessments - back to basics

Legal services remain attractive to money launderers and every so often it’s important to check that the fundamental elements of your risk procedure are in place. Pearl Moses revisits the core elements of risk assessments.


AML for conveyancers - what you need to know

Pearl Moses and Peter Rodd discuss the implications of the Money Laundering Regulations 2017 for conveyancing and property practitioners, including the main areas of concern and what practical steps can be taken to stay on top of the new obligations. 

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AML for Private Client practitioners - what you need to know

The Money Laundering Regulations 2017 and the recent Criminal Finances Act impose new obligations on Private Client practitioners and firms. There are statutory requirements and defences which need to be understood, to avoid financial penalties and possible criminal conviction. 

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cyber security

Cybersecurity - an updateSubscription

30 May 2019

Peter Wright, Managing Director of Digital Law UK gives us some top tips on avoiding ‘cyberattacks’.

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Price transparency - how are firms doing?Subscription

29 May 2019

Peter Scott, Director of Peter Scott Consulting, takes a look at some law firm websites to assess compliance with the price transparency requirements.

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The new SRA standards: an updateSubscription

30 April 2019By Marzena Lipman

Marzena Lipman gives us a quick update on the state of play with the SRA Standards and Regulations.

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FAQs: Complaints handlingSubscription

26 April 2019

Our Practice Advice Service looks at some of the FAQs they’ve received recently on regulation and compliance issues.

money laundering

AML crackdown?

28 March 2019

Helena Mumdzjana gives us a quick update on professional body supervisors’ approach to money laundering and risk assessments.

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Risk and Compliance conference 2019

28 March 2019

Janet Noble gives a summary of last month’s Risk and Compliance conference.

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Brexit and practising rightsSubscription

25 March 2019

Anna Drozd and Betty-Ann Morain of the Joint Brussels Office of the Law Societies look at practice rights in the light of Brexit.

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SRA Price and Transparency Rules - the impact so farSubscription

25 February 2019

Iain Miller, partner at Kingsley Napley, considers the impact of the SRA’s price transparency requirements.

Previous features from the Risk and Compliance Service

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