November 13, 2019

Having worked in several different law firms over the past 10 years, it has been interesting to see how each firm has dealt with conflict checking differently.

Many medium to large law firms have teams running conflict checks for the firm. From my experience however in...

October 23, 2019

The AML legislation imposes a positive duty on lawyers, in certain circumstances, to report any suspicion that their client is engaged in money laundering. Given that such a duty is, on the face of it, in conflict with fundamental obligations on solicitors to act in th...

October 8, 2019

In this series, I cover my Top Tips for AML Compliance, here are the first 10……

1) Evidencing you have taken your supervisor’s risk assessment into account when preparing your own. All firms must have regard to their supervisor’s risk assessment when preparing their own...

July 19, 2019

Human trafficking is one of the fastest growing illegal enterprises in the world (after drug trafficking). 

The statistics show the true extent of the problem – a joint report produced by FATF and the Asia/Pacific Group on Money Laundering (AGF) in June 2018 linking mon...

July 16, 2019

So, we all knew that the ICO had been equipped with a fine set of gnashers by the GDPR and DPA legislation.  What we didn’t know was what it would take to get them to bare them or actually use them.  Or what the consequences of an ICO mastication would look like when t...

June 20, 2019

I attended the Ark Group Annual AML Conference in London yesterday to speak on the panel about the challenges for MLROs who are also fee earners in their firm.

The session posed questions to the audience, and we, the panel, put our two penneth in.

Joining me on the panel...

May 6, 2019

(Originally published on Ark Group's Website) 

With the SRA reporting last week that 44% of the firms they recently visited in an Anti-Money Laundering (AML) thematic review have been referred through to their disciplinary procedure, the level of compliance in law firms...

March 16, 2019

As part of the recently launched Teal Compliance Officer Training Programme, I ran a webinar session running through all the requirements in relation to Price Transparency and the impact it is having on firms. 

The first thing I would say is that the new rules create a...

March 15, 2019

Filing Suspicious Activity Reports (SARs) should be a priority for all law firms when presented with circumstances that alert them to the potential for money laundering.

But the very word "suspicious" is - in itself - problematic: lacking clear definition.  

Money launde...

March 15, 2019

We're nearly a year since the frantic preparations for GDPR. How is it all going? Should we be checking? Should we audit?

Why do I need to complete an audit?

An audit allows an Organisation to understand whether it is complying with the requirements of the Data Protectio...

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Human trafficking and how to spot it

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