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Anti-Money Laundering (AML) Training For MLROs, MLCOs And Law Firm Management Course
By DG Legal
- 30 Day Money Back Guarantee
- Completion Certificate
- 24/7 Technical Support
Highlights
Delivered Online
Advanced level
Description
In January 2024 alone, reports were published about the SRA taking enforcement action against 3 firms and 4 individuals for failure to comply with the Money Laundering Regulations 2017. The fines issued for these non-compliances total over £570,000 plus costs. The absence of staff training, or requirement to complete additional training, was noted in a number of these cases.
As a manager of a law firm, or more crucially an MLRO or MLCO, the ultimate responsibility for the firm's compliance, including with the MLR 2017, lies with you. It is your responsibility to ensure that the firm puts in place, reviews and updates compliant policies, controls and procedures. You must ensure that the firm maintains an up to date practice wide risk assessment. You are required to ensure that your employees are regularly given training on the MLR 2017 and associated risks.
If a breach occurs, the SRA will take a wider look at the firm and identify any supervisory deficiencies that may have contributed to failures by fee earners or support staff. It has proven that it will not shy away from holding to account managers, compliance officers and MLRO/MLCOs for failures by their firms to comply with requirements of the MLR 2017.
This course will cover the following to assist firms MLROs, MLCOs and Management with fulfilling their AML management responsibilities:
How to comply with your obligations and stay compliant
FWRA – linked with PCPs
Mandatory AML Policies and Procedures - SRA have concerns
Training and supervising staff
Audits
SRA requirements
Reporting SARS
POCA/TA
Fulfilling reporting officer and compliance officer duties
Target Audience
The online course is suitable for MLROs, MLCOs, firm management and those supporting these roles.
Resources
Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training.
Please note a recording of the course will not be made available.
Speaker
Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services.
Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).
Frequently Asked Questions
Will I receive a Zoom link before the event?
Yes, prior to the event a link will be sent to the email address used to register for the course so please ensure the delegate details are correct.
Will I be able to view a recording of this Course after the event?
No, a recording will not be made available.
Do you provide a certificate of attendance?
For our Premier Training courses, please email us at teamadmin@dglegal.co.uk after the event if you require a certificate of attendance.
Will you provide a copy of the slides?
The slides will be distributed by email after the event
Are there any accompanying notes?
Yes and these will be distributed by email after the event.
Terms and Conditions
- Bookings may only be cancelled by written notice received by us not less than 10 working days before the date of the course. We cannot accept cancellations by telephone. The delegate fee will be credited to you less an administration charge of £25 + VAT per delegate booking that is cancelled. Refunds of delegate fees for late cancellations (i.e. cancellations received by us less than 10 working days before the date of the course) will not be refunded. Failure to attend the course will constitute late cancellation and payment will still be due or forfeit if already paid.
- You may notify us of a substitute delegate at any stage, without charge.
- DG Legal reserves the right to vary or cancel a course where the occasion necessitates. We will refund any payment made in respect of a cancelled course but otherwise do not accept any liability for a course not taking place.
About The Provider
DG Legal
Leicestershire
Established in 2000, DG Legal is the largest provider of strategic and compliance services operating in England and Wales.
Our strategy is to recruit and retain only leading consultants in their respective fields of expertise. Each member of the team has either worked for or pro...
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