This guidance on the Proceeds of Crime Act applies to all people and firms regulated by the SRA, whether or not they fall within AML scope. The SRA have given notice that they will have regard to this guidance when exercising it's regulatory functions. The guidance has been issued to help people understand the SRA's expectations.
Below is a link to the guidance. It has some useful examples, a list of Red Flags to watch out for, how to make a Suspicious Activity Report (SAR), exemptions and emphasises the need for the training of staff [with which we can assist].
Here is the link to the Guidance.
AML Support we offer
Independent AML Audit - an audit to ensure the implementation & exercise of your AML policies & procedures
AML Training - for those regulated by the SRA and by the FCA
OPM - an up to date Office Procedures Manual (SRA regulated firms)
MLRO Support Retainer - for MLROs in certain FCA regulated sectors
MLRO Reviews & Reports - for MLROs in certain FCA regulated sectors
Contact Us
Fill in the form below
