Watch on demand
AML Case Study Webinar - How one firm could have avoided a £20k fine
- Available On Demand
- Presenters: Ryan Sparrow and Brian Rogers
Earlier this year, small Oxfordshire-based firm, Ferguson Bracknell were fined £20,000 for a number of Anti-Money Laundering failings. Although the SRA accepted that there was no harm done to any clients, there was a risk that money laundering could have taken place due to the failings and so the firm received the record fine.
In this webinar, Brian Rogers looks at what the firm did wrong and what they should have done, giving you practical advice on what you need to have in place to make sure that the next time the SRA exercise their new powers, you aren’t on the end of it.
About the presenters
Ryan Sparrow LLB (Hons) ACIM is a Marketing Programmes Manager at Access Legal. Having studied law at university and dreams of becoming a lawyer, Ryan eventually found his way into the legal technology sector where he has gained more than 5 years of experience working to understand the technology and compliance needs of law firms. With this experience, Ryan has worked to create Access Legal’s Guide to CQS Compliance and the Access Legal Guide to AML.
Brian Rogers is Regulatory Director at Access Legal and has been with the Access Group since its acquisition of Riliance in 2019. Prior to joining Access, Brian was a director in Riliance Software Limited, a company which he set up in order to develop his risk and compliance software solution for law firms.
Prior to joining Riliance full time in 2012, Brian worked in various law firms for 20 years as a senior management executive dealing with all operational matters, including risk and compliance, and latterly as a non-lawyer partner and advisor to solicitors and law firms facing regulatory action by the Solicitors Regulation Authority.
Brian is a well-respected speaker and author on regulatory and compliance matters and is a prolific Linkedin blogger with over 10,000 worldwide connections; his blogs are regularly viewed by regulators, legal practitioners, and fellow regulation and compliance professionals. His monthly legal compliance update webinar currently has more than 1,700 registrants and counting.
