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Compliance Updates

All subscribers receive a monthly compliance e-bulletin which looks at some of the key regulatory and compliance issues of the month and provides an analysis and explanation of issues likely to affect firms.

 

Although not updated in the same way as Factsheets and Guidance Notes, the Compliance Bulletins continue to be available on the Compliance Hub where they can be browsed for relevant topics.

Amongst the topics covered by the Compliance Bulletins over the past year or so have been:

  • Data storage under the MLR and GDPR,
  • Ownership of client files,
  • Checking the source of funds in financial transactions,
  • Countering liability for facilitating tax evasion,
  • Guidance on AML,
  • Risk,
  • Use of imaginative cost packages,
  • Property fraud,
  • Effective supervision, and
  • The new SRA Handbook.

Some sample bulletins can be found at: