Resources
Practical compliance guides for law firms
Clear, practical guidance on SRA AML inspections, desk-based reviews, risk assessments, training records, attestations, and audit-ready evidence — written for COLPs, COFAs, MLROs, and compliance teams.
AML inspections
An SRA AML inspection checklist for law firms
A practical checklist for SRA AML inspections — the documents to have ready, the consistency to check, and how to prepare your MLRO, management, and fee earners.
Read guideHow to prepare COLPs and MLROs for SRA AML interviews
Inspections test whether the MLRO, management, and fee earners understand and apply AML processes. Here's how to prepare credible, consistent interview responses.
Read guideDesk-based reviews
How to prepare for an SRA desk-based AML review
A practical guide to SRA desk-based AML reviews — what to expect, how to handle a 10–14 day document request, and how to submit a consistent, credible response.
Read guideWhat documents the SRA may request in an AML review
The documents the SRA typically requests in an AML desk-based review or inspection — and what makes each one credible rather than just present.
Read guideTraining & attestations
How to evidence AML training and staff attestations
Poor AML training records are a recurring SRA finding. Here's how to evidence training and staff attestations so you can show who was trained, on what, and whether they understood it.
Read guideHow law firms can evidence AML training
What counts as adequate AML training evidence for the SRA — ongoing, role-specific, acknowledged, and understood — and how to keep it organised across the firm.
Read guideHow policy attestations help prove staff understanding
Policy attestations turn 'we published it' into 'they read and understood it'. Here's how attestations and comprehension evidence support COLPs, MLROs, and compliance leads.
Read guideHow to evidence role-specific AML training across a law firm
A single firm-wide AML session rarely satisfies the SRA. Here's how to evidence role-specific AML training across departments — and why consistency matters.
Read guideCOLP & COFA
What does a COLP need to evidence?
A practical look at what a Compliance Officer for Legal Practice should be able to evidence — policy reviews, approvals, attestations, regulatory updates, and decisions.
Read guideWhat does a COFA need to evidence?
What a Compliance Officer for Finance and Administration should be able to evidence around finance-related compliance controls, approvals, policies, and staff acknowledgements.
Read guideCOLP vs COFA: responsibilities and audit evidence
How the COLP and COFA roles differ, where they overlap, and what audit evidence each should keep — with one consistent compliance trail across both.
Read guideContinuing competence
SRA continuing competence: what records should firms keep?
The SRA replaced fixed CPD hours with continuing competence. Here's what records firms should keep to evidence that staff keep their regulatory knowledge up to date.
Read guideCPD records vs continuing competence for solicitors
What changed when the SRA replaced CPD hours with continuing competence — and what it means for the records solicitors and firms should keep.
Read guideSee how Reglo would work for your firm
Book a demo and we'll show you how Reglo keeps your policies, training, attestations, and audit-ready evidence aligned — against your real compliance setup. Your team stays in control; humans approve every change.