Be ready before
the inspection begins.
SRA AML supervision is now proactive — inspections test whether your systems and controls work in practice, not just on paper. Reglo keeps policies, training, attestations, and approvals aligned so you can evidence how your AML framework operates the day a request arrives.
Inspections test whether your AML controls work in practice — can your firm show it, consistently, across documents and files?
An AML inspection goes a step further than a document review: the SRA interviews the MLRO, senior management, and fee earners, and samples files on a risk basis to see how controls are applied in real matters. Firms come unstuck not from missing documents, but from gaps between policy and practice, and inconsistency between people and files. Reglo keeps the evidence coherent so the story holds up.
Who this is for
For the people the SRA will speak to
MLROs and MLCOs
Walk into an interview able to explain how the firm identifies, assesses, and mitigates AML risk — with the evidence behind it.
COLPs and senior management
Know that policies, training, and approvals are consistent before fee earners are interviewed.
Fee earners and supervisors
Have current, understood procedures — so what they describe matches what's on the file.
How Reglo helps
From regulatory change to audit-ready
Align policy, practice, and people
Reglo keeps your AML policies, firm-wide risk assessment, and training materials telling one consistent story — and tracks who has acknowledged each one.
Run an internal review before the SRA does
Surface gaps and inconsistencies early — outdated policies, overdue attestations, thin training evidence — so you can fix them before they become findings.
Evidence ready for interviews and files
Export the firm-wide risk assessment, policies, training records, and approval history the SRA expects — and brief your MLRO from one source of truth.
What the SRA tests in an inspection
Beyond the documents
Understanding, in interviews
Whether the MLRO, senior management, and fee earners understand and apply AML processes consistently.
Application, on files
How AML requirements were applied in real client matters — CDD, source of funds, and risk decisions.
Consistency, across the firm
Whether different departments apply checks the same way, or create confusion about what applies where.
What you get
What inspection readiness looks like with Reglo
Calm, organised, and consistent — not a last-minute scramble.
Policy/practice consistency
Keep the firm-wide risk assessment, policies, procedures, and training aligned so they don't tell different stories.
MLRO readiness
A single, current view of how risks are identified, assessed, and mitigated — so the MLRO can explain the framework with evidence behind it.
File-sample confidence
Training and attestation records that show staff understood the procedures applied on sampled files.
Evidence packs on demand
Policies, risk assessment, training records, and approval history exported in hours, not days.
Common gaps firms discover too late
What inspections tend to expose
Documented but not embedded
Procedures exist, but fee earners aren't following them — or aren't clear how to apply them in practice.
Inconsistent departments
Transactional teams have compulsory checks while other work applies KYC and risk assessment differently.
Weak audit trails
Limited evidence of rationale, source-of-funds analysis, and decision-making on files.
Evidence Reglo helps you keep ready
Have this in order before an inspection
- Current, approved AML policies and procedures — drafts retired
- A firm-wide risk assessment aligned to clients, services, and jurisdictions
- Ongoing and role-specific AML training records with comprehension evidence
- Attestations showing who acknowledged each policy, and who is outstanding
- Approval history: what changed, who signed it off, and when
- A timestamped audit trail linking changes, training, and sign-off
Current capability vs roadmap
What Reglo does — and what stays with your firm
Reglo keeps ready
- Policy, FWRA, and training alignment with version control
- Attestations, comprehension tests, and reminders
- Approval history and a timestamped audit trail
- Export-ready evidence packs for the document request
Your firm still owns
- The judgement and decisions on individual client matters
- Interview responses (Reglo briefs; people answer)
- CDD and source-of-funds verification on the file
This replaces overhead — it doesn't need a new budget line.
Inspection prep usually means days of partner, MLRO, and consultant time pulling evidence together under a tight deadline. Reglo replaces that scramble with always-on readiness — the cost is already in your diary today.
- Hours of policy admin, attestation chasing, and evidence assembly handed back to the firm — not a new headcount.
- Typically less than the billable time firms lose to manual policy updates and audit preparation each month.
- Guided onboarding: we migrate your policies and map your sources — no IT project, no six-month rollout.
Common questions
How is an AML inspection different from a desk-based review?
A desk-based review is usually narrower and remote — the SRA requests core documents and assesses them offsite. An inspection goes further: it can be on-site, includes interviews with the MLRO, management, and fee earners, and samples files to test how controls operate in practice.
Can Reglo guarantee we pass an SRA inspection?
No — and you should be wary of anyone who claims that. Reglo keeps your policies, training, attestations, and approvals consistent and audit-ready so your firm can clearly evidence how its AML framework works. The judgement and decisions remain with your people.
How does Reglo help the MLRO prepare for interviews?
Reglo gives the MLRO one current view of policies, the firm-wide risk assessment, training completion, and approval history — so they can explain how the firm identifies, assesses, and mitigates AML risk, with the evidence behind each point.
Can we be selected even if nothing has gone wrong?
Yes. SRA AML supervision is now proactive and structured — firms can be selected through thematic reviews or risk profile even where no specific issue has been identified. Being prepared to evidence your framework matters regardless.
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See 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.