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SRA AML Review Readiness Checklist

Work through this before a document request arrives. It covers the evidence an SRA desk-based review or AML inspection typically tests — and where firms most often find gaps. Tick through it, print it, and share it with your MLRO and compliance team.

This checklist is general guidance for compliance teams, not legal or regulatory advice. Refer to the SRA's current requirements and take your own professional advice where needed.