SRA AML inspections—checklist

Copyright © 2025 LexisNexis
Published by a LexisNexis Practice Compliance expert
Checklists

SRA AML inspections—checklist

Copyright © 2025 LexisNexis

Published by a LexisNexis Practice Compliance expert

Checklists
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This Checklist is based on the SRA guidance on AML inspections, and identifies specific LexisNexis® Precedents you could use for documents required by the SRA to be provided to it in advance of the inspection. It also contains recommended action points and information on further resources to support inspection day itself and after. See further Practice Note: How to survive an SRA AML inspection.

If you are selected for an on-site AML inspection, the SRA will contact you to offer a selection of dates. An on-site SRA AML inspection will occur at your firm’s offices and can take up to five hours, although the SRA advises that you should keep your diary as free as possible on the day of the visit.

Before the inspection

Before the inspection, the SRA will contact your firm to request that the following documents are sent to it within 14 days:

Document or information requiredLexisNexis® PrecedentsComments (if any)
☐ Your firm-wide money laundering and terrorist financing risk assessmentPrecedent: Money laundering, terrorist financing and proliferation financing firm-wide risk assessment—law firms(Insert
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Jurisdiction(s):
United Kingdom

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