SRA client and matter risk assessments: what you need to do to ensure compliance – Webinar by InfoTrack, 29 February 11am
29 February 2024 – 11.00 am (1 hour)
The SRA issued its Warning Notice to Firms in October 2023, stating: “We continue to see a persistent level of non-compliant client/matter risk assessments, and this remains an area where improvement is necessary. Undertaking effective client/matter risk assessments is a key step in preventing money laundering as it should inform the correct level of client due diligence to apply, as well as ongoing monitoring.”
It is evident, that even with a template assessment form, this remains an area in which law firm staff continue to struggle.
In this session, Norman Denton, Senior Compliance & Regulatory Specialist at Legal Eye, will consider:
- how client and matter risk assessment should be approached
- how you demonstrate ongoing assessments
- source of funds and wealth
- good and poor practices in evidence
Book your place now to stay up to date with client and matter risk assessments.
https://us02web.zoom.us/webinar/register/3017065475152/WN_bzFpvYdtQfC8TkQFPcaiVg
