Respond to a document
request with confidence.
Desk-based reviews start with a document request — often on a 10–14 day timeframe. Reglo keeps your firm-wide risk assessment, AML policies, training records, and version history consistent and current, so you submit a coherent, credible response without the scramble.
A 10–14 day document request is short when documents are scattered, out of date, or telling different stories.
In a desk-based review the SRA assesses your material offsite and checks whether it is consistent, up to date, and aligned with your firm's actual risk profile. The common issue is inconsistency, not catastrophe: policies that don't reflect practice, generic risk assessments, and gaps in how CDD is recorded. Reglo keeps the package coherent before the request arrives.
Who this is for
For whoever coordinates the response
MLROs and compliance leads
The natural central point of coordination — with one current source for every document the SRA asks for.
COLPs
Confidence that what's submitted reflects the firm's approved, current position.
Practice managers
No frantic search across drives and inboxes when the clock is ticking.
How Reglo helps
From regulatory change to audit-ready
Know what's current — instantly
Reglo holds the approved version of every policy and your firm-wide risk assessment, so there's no doubt which document to submit.
Sense-check before you submit
Run an internal review to surface inconsistencies and gaps — between policies, risk assessment, training, and files — and fix them first.
Submit a coherent, credible package
Export the firm-wide risk assessment, AML policies, training records, and supporting evidence as one consistent set — with follow-up answers that align.
What the SRA typically requests
The core document set
Generally assessed offsite, with follow-up questions where needed.
Firm-wide risk assessment
Specific to the firm's clients, services, jurisdictions, and delivery methods.
AML policies and procedures
Current, approved, and reflecting actual day-to-day practice.
Training records
Evidence of who has been trained, when, and on what.
A sample of files
To check whether documented controls are applied in real matters.
What you get
What a calm desk-based review looks like
Organised, consistent, credible — not perfect, just ready.
Beat the 10–14 day clock
Core documents accessible and current the moment the request lands — no reconstruction under deadline pressure.
One coherent story
Risk assessment, policies, procedures, and training aligned so they don't contradict each other.
CDD recording you can stand behind
Training and attestation evidence that supports how due diligence is recorded on files.
Consistent follow-up answers
When the SRA asks follow-up questions, your responses match what you already submitted.
Common gaps firms discover too late
What reviews flag at this stage
Policies that don't reflect practice
The document describes one approach; the files show another.
Generic risk assessments
A template FWRA that doesn't match the firm's actual risk profile.
Gaps in CDD records
Due diligence done but not clearly evidenced on the file.
Evidence Reglo helps you keep ready
Ready to submit in days, not weeks
- Approved, current firm-wide risk assessment
- Version-controlled AML policies and procedures
- Training records with completion and comprehension evidence
- Attestations showing acknowledgement across the firm
- Approval history for every policy change
- A clear audit trail to support follow-up questions
This replaces overhead — it doesn't need a new budget line.
Responding well to a desk-based review costs days of compliance and fee-earner time, often with consultant support. Reglo keeps the documents ready year-round, so the response is assembly rather than reconstruction.
- 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 long do firms get to respond to an SRA document request?
Timeframes are typically tight — often around 10 to 14 days. If more time is genuinely needed it's better to engage early and agree an extension than to submit incomplete or inconsistent information under pressure.
What does the SRA look for in a desk-based review?
Whether your documentation is consistent, up to date, and aligned with the firm's actual risk profile. Common issues are inconsistency rather than major failings — policies that don't reflect practice, generic risk assessments, and gaps in CDD recording.
How does Reglo help us respond quickly?
Reglo keeps your firm-wide risk assessment, policies, training records, and approvals current and version-controlled, so you always know which document is approved and can export a consistent package without searching across drives and inboxes.
Does a desk-based review mean we're in trouble?
Not necessarily. Engagement is now a routine part of AML supervision and doesn't automatically lead to enforcement — outcomes are often feedback, recommendations, or required improvements. Being organised and consistent makes a real difference.
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More for law firm compliance
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.