SRA Visits - What to Expect

Introduction

As another year of mayhem closes, this one is proving to be even more challenging than most.

To top it all, the SRA have been investigating all firms on their radar, looking for loopholes.

So, what can we expect from their visits?

This new virtual classroom seminar will explain all.

What You Will Learn

This live and interactive session will cover the following:

• AML steps
• Resourcing of key office holders
• RTFM problems
• Source of wealth and funds enquiries
• Sanctions and the register of overseas entities
• SLAPP litigation arguments
• Research into the unregulated sector
• The future of SIF
• More good news for 2023

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.