Don’t gamble with compliance
Fines do not differentiate between the size of the firm.
We have conducted over 3,000 online audits and our team can help you.
Independent AML Audit Assessment (IAAA)
Policies, Controls and Procedures (PCPs)
Remote Compliance Audits
SRA Transparency Rules Audit
Practice or Firm-Wide Risk Assessment
SRA CMRA Review
(Client-Matter Risk Assessment)
Certified Auditors
Assessment Legal ensure that all auditors are professional experienced persons. In addition each auditor carries Professional Indemnity Insurance cover. To add to this we certify each Auditor with Approachable Certification a UKAS accredited Certification Body.
About Assessment Legal
Assessment Legal was formed by Tim Prior and Paul Wilkinson to create a Best Practice Standard. This quality standard was adopted by LEAP and is known as the LEAP Best Practice Standard for Conveyancing. To date over 3,000 remote audits have been conducted by our team of experienced compliance auditors for LEAP Software.
Latest Posts
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SRA AML & Sanctions Questionnaire Due September 2024
The SRA has begun distributing an AML & Sanctions Questionnaire form which must be submitted through your MySRA profile by 23rd September 2024. The questions are identical to those outlined in the warning email sent by the SRA on 2nd July 2024. You may view a copy of the email received by one of our…
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Good and Poor Practice for Client and Matter Risk Assessments
A Client and Matter Risk Assessment (CMRA) is a regulatory requirement for evaluating money laundering and terrorist financing risks associated with a client or matter. It aids in determining the appropriate level of due diligence (CDD) required under the Money Laundering Regulations 2017 (MLR 2017). Each client and matter must have a documented risk assessment,…
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Anti-Money Laundering and Sanctions Data Collection by the SRA
All firms regulated by the Solicitors Regulation Authority (SRA) have been contacted regarding a data collection exercise. Firms are required to answer questions about the work they carry out within the scope of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), anti-money laundering (AML) procedures, sanctions,…
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