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How Compliance Ltd - Stand 1
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How Compliance Ltd is a specialist company delivering high-quality AML, financial crime and regulatory compliance consultancy and training services to solicitors firms. With extensive knowledge and experience of regulatory risk management, we can help you to understand, assess and mitigate risk across the money laundering and broader financial crime regimes and meet your obligations under the SRA Standards and Regulations. We can also give you reliable, confidential advice to help you with reporting and managing the impact of potential regulatory breaches.
Preparing your Practice Wide Risk Assessment
Providing support with the development of an effective Practice Wide Risk Assessment and the implementation of policies, controls and procedures to meet the requirements of the Money Laundering Regulations and other financial crime compliance regimes.
Click for more informationCompliance audit services
Carrying out client and matter compliance audits providing documented assurance that staff and partners are meeting their AML and broader compliance responsibilities.
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Providing confidential advice and support on incident management, breach reporting and coordinating an effective response to SRA audits, enquiries and investigations.
Click for more informationFinancial crime and regulatory training
Firmwide training on AML/CTF, sanctions, Bribery Act, Criminal Finances Act and SRA regulatory compliance, ensuring that all relevant staff have an appropriate understanding of their obligations and legal responsibilities. Developing risk awareness including how to identify and appropriately react to financial crime red flags.
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