by Yasmin Robinson | Jun 30, 2026 | News
HM Treasury has now published its response to the consultation on transferring anti-money laundering (AML) supervision from the current professional body supervisors, including the SRA, to the Financial Conduct Authority (FCA). While legislation and implementation are...
by Yasmin Robinson | Jan 19, 2012 | News
Chapter 7 of the Code of Conduct and Rule 8.2 of the Authorisation Rules require firms to have suitable compliance arrangements. Note (iii) to Rule 8 sets out some examples of what the SRA considers should be covered by a firm’s compliance plan. There is no...