Professional Misconduct Despite Effective AML Controls - A Guide for Conveyancers

Introduction

The decision in SRA v Dentons LLP [2025] highlights that having AML policies, procedures, training and case management systems in place is not enough to protect you from a finding of ‘professional misconduct’ - especially when staff fail to act as expected.

This virtual classroom seminar examines how staff are likely to behave in practice regarding AML compliance, rather than how you would like to behave. It examines the reasons behind their actions and offers strategies you can adopt - if you are willing to think differently.

What You Will Learn

This live and interactive course will cover the following:

• Why your staff do not make suspicious activity reports to the MLRO
• The importance of what’s going on inside the heads of your staff (behavioural traits):
• Default to truth
• Lowered self-esteem
• I cannot ask for help
• Ignoring intuition
• Stuck in a strategy
• Tunnel vision
• Things I have not done before
• Practically, what to do about it (small, but significant changes you could make)

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.