AML – Renewed SRA Risk Assessment Warnings
SRA’s announcement that it will be writing to the 7,000 firms to ask them to confirm they have a f...
SRA Guidance on the Standards and Regulations
The SRA are very keen to make everyone aware that the length of the new Standards and Regulations, c...
New Accounts Rules – Beware!
The forthcoming Standards and Regulations are billed by the SRA as being shorter and simpler. It is...
Reporting and Self-Reporting under the SRA Standards and Regulations
Whilst few of the forthcoming rule changes in the Standards and Regulations amount to more than just...
The Changing Picture for COLPs and COFAs
As the commencement of the new Standards and Regulations regime approaches COLPs and COFAs, who shou...
Towards Standards and Regulations
One of the aims of the new Standards and Regulations was to reduce the length to the former Handbook...
Regulatory Enforcement and the Standards and Regulations
As the November start date for the new SRA Standards and Regulations regime approaches so too does t...
Checking for PEP Status in accordance with the MLR 2017
Recently the SRA reported that a number of the firms in a thematic survey had inadequate PEP checkin...
Are You Transparent?
It is now over six months since the SRA introduced its Price Transparency Regulations, which came in...
Money Laundering Compliance – What the SRA Expects
SRA report on an initial exercise to survey the degree of money laundering compliance and state that...