SRA AML Fines: Lessons to be learned
A robust AML compliance program comprises many crucial components. This session aims to help firms learn from others' experiences and mistakes.
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About this webinar
Overview of the notable stream of penalties issued
Common mistakes firms are making in AML compliance
What prompts the SRA to investigate a firm
Risk Assessments
AML PCP's, Value of an AML audit & Importance of AML training for staff
Top tips for compliance
The panel
Jonathon Bray
Director, Jonathon Bray
Jon formerly practiced employment and litigation law. It was whilst doing this that he began to realise that there was more he could do to help firms in ensuring that they were compliant and ready for the changing legal landscape. In 2011, JBL was born… Since then, Jon has been advising law firms on risk management and compliance and has helped new law firms and ABSs get authorised.
Harriet Holmes
Senior Manager, AML Solutions, Thirdfort
Harriet leverages a decade of compliance expertise to spearhead Thirdfort's in-house AML and anti-fraud efforts. Her varied background in law firms, both local and global, fuels her commitment to enhancing AML practices. Her contributions ensure Thirdfort's digital AML solution is secure and seamless, trusted by over 1000 legal firms and regulated businesses. Harriet's passion lies in fostering a safer legal landscape and empowering businesses and clients to operate confidently.
