Compliance update no 2, 2023
Recorded on: 14/09/2023
The second in our twice-yearly compliance updates from Trevor Hellawell will focus on several recent and topical initiatives, consultations, and the ultimate responses. It will look at key issues emanating from the SRA and a run-down of enforcement steps taken in response to the recent round of investigations and thematic reviews by the SRA. It will also feature the latest thinking on anti-proliferation financing, the sanctions regime and AML in general. It will also look at some developments regarding ongoing competence and AI initiatives as well as other miscellaneous information from other agencies.
The following will be covered:
- SRA – new fining powers introduced
- SRA investigations of AML procedures – continued
- Counter-proliferation financing – how might we be caught?
- Sanctions regime – changes and extra guidance
- AI & Lawtech innovations
- Review of our continuing ‘competence’
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