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The UK - SRA CMRA/FWRA risk assessment guides

25/10/2023

The UKSRA has recently published a suite of information to help firms put in place good client/matter risk assessments.

These are essential blocks of AML controls to decide what level of customer due diligence is needed to mitigate the risk.

  1. SRA report setting out the findings of our thematic review:
    1. https://www.sra.org.uk/sra/research-publications/client-matter-risk-assessments/
  2. SRA template for client/matter risk assessments for those firms which wish to use it:
    1. https://www.sra.org.uk/solicitors/resources/money-laundering/guidance-support/client-matter-risk-template/
  3. SRA warning notice setting out what firms are getting wrong and what good practice looks like:
    1. https://www.sra.org.uk/solicitors/guidance/client-and-matter-risk-assessments/
UNITED KINGDOM

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