Anti-money laundering compliance is one of the most challenging and high-risk areas of regulation for solicitors’ practices. The obligations imposed by the Money Laundering Regulations 2017, the Proceeds of Crime Act 2002 and the Solicitors Regulation Authority’s regulatory framework are extensive, technical and subject to active enforcement. Infolegal provides specialist AML services, independent audits and ongoing support to help firms meet these obligations with confidence and consistency.
This service offered by Infolegal’s sits alongside and complements the online resources available through the Infolegal InfoHub. It is designed for firms that require expert reassurance, independent review and practical guidance in an area where mistakes can have serious regulatory, financial and reputational consequences.
The Solicitors Regulation Authority has made it clear that AML compliance is a regulatory priority. Enforcement action, thematic reviews and spot checks demonstrate that firms are expected not only to have AML policies in place, but to be able to evidence that those policies operate effectively in practice. Failures can result in disciplinary action, significant fines, increased professional indemnity insurance premiums and, in the most serious cases, criminal liability.
AML obligations apply to a wide range of legal services and, following changes to the definition of “tax adviser”, now affect many firms that historically believed they were outside the regulated sector. Even firms that remain technically outside the scope of the Money Laundering Regulations must still manage risks under the Proceeds of Crime Act, making robust systems and controls essential across all practices.
An AML audit or independent review is a structured assessment of how effectively a firm is meeting its anti-money laundering obligations. This typically includes reviewing the firm’s AML risk assessment, policies and procedures, client due diligence processes, source of funds and source of wealth checks, training arrangements and ongoing monitoring controls.
The purpose of an audit is not simply to identify gaps, but to provide independent challenge and constructive assurance. It helps firms understand how their arrangements would appear to the regulator, where improvements are required and how risks can be better controlled. Increasingly, AML audits are requested by lenders, insurers, accreditation bodies or as part of internal governance and risk management processes.
Many solicitors struggle with AML compliance because of the pace of regulatory change and the operational burden it places on busy practices. Common issues include outdated or generic AML policies, risk assessments that do not reflect the firm’s actual work profile, inconsistent client due diligence practices and gaps in staff training.
Firms can also find it difficult to demonstrate effective supervision, ongoing monitoring and decision-making, particularly where matters involve higher-risk clients, complex structures or politically exposed persons. For COLPs, COFAs, MLROs and MLCOs, these challenges can be a significant source of stress, especially when concerns arise or the regulator makes enquiries.
Infolegal provides practical, solicitor-focused AML support, drawing on many years of experience advising law firms on financial crime compliance. Our services range from independent AML audits and health checks to ongoing advisory support for reporting and compliance officers. Where appropriate, we work alongside specialists from Enderley Consulting to deliver proportionate, regulator-ready solutions.
We help firms review and refine their AML frameworks, ensuring that policies, procedures and risk assessments are tailored to the firm’s work, client base and risk profile. We also provide clear, prioritised recommendations and practical guidance on implementation, rather than abstract commentary. Where firms are dealing with specific AML concerns or regulatory engagement, we can support responses and help manage issues before they escalate.
Training is a core element of AML compliance and, for many firms, a regulatory requirement. Infolegal supports firms in meeting their training obligations through a combination of online resources and bespoke input, ensuring that fee earners and support staff understand their responsibilities and can identify and escalate concerns appropriately.
By integrating AML audits and advice with the Infolegal InfoHub, firms can maintain training records, risk assessments and compliance logs in one place. This joined-up approach supports consistency, supervision and evidencing compliance, and significantly reduces the administrative burden on compliance officers.
Firms that use Infolegal’s AML services benefit from independent expertise grounded in real law-firm experience. They gain reassurance that their systems and controls meet regulatory expectations, greater confidence in managing higher-risk matters and clearer oversight for COLPs, COFAs, MLCOs and MLROs.
Most importantly, Infolegal helps firms move from reactive compliance to proactive risk management, reducing regulatory exposure and supporting a strong culture of compliance across the practice. In an area where the consequences of failure are severe, having trusted, specialist support can make a critical difference.
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