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Prepare an SRA legal-practice AML working pack

Create a business-wide risk assessment, procedures, client and matter records, due-diligence checks and governance evidence for an SRA-regulated practice in England and Wales.

UKFinancial crime
Free to useRun the complete browser-local toolAbout 15 minutes9 working filesStart this tool

Tool available. Run the complete browser-local workflow and inspect the result. Paid export is not active. Entries and files stay in this browser. Sources reviewed 31 July 2026.

Inspect a real output

Built from fictional sample information using the same exporter as the tool.

SRA legal-practice risk-assessment sample

What’s included

Set governance and risk

Orient the owner, document the business-wide risk assessment and prepare the operating procedures.

  • Start Here PDF
  • Business-wide risk assessment DOCX
  • AML procedures DOCX

Work customer decisions

Keep customer or matter risk, due diligence checks and suspicion decisions in structured records.

  • Customer and matter risk register XLSX
  • CDD and EDD checklist PDF
  • Suspicion decision log XLSX

Manage evidence and actions

Retain appointments, training, remediation actions and the dated source basis behind the pack.

  • Governance and training register XLSX
  • Action plan CSV
  • Sources and assumptions record
View every output and format
  • Start Here PDF
  • Business-wide risk assessment DOCX
  • AML procedures DOCX
  • Customer and matter risk register XLSX
  • CDD and EDD checklist PDF
  • Governance and training register XLSX
  • Suspicion decision log XLSX
  • Action plan CSV
  • Sources and assumptions record

Who this tool is for

SRA-regulated legal-practice owners, compliance officers, MLROs and operations teams in England and Wales. Prepare a consistent first working set of AML records for the practice services, clients, matters, delivery model and geographic exposure.

Supported use

  • An SRA-regulated solicitors practice or law firm in England and Wales
  • Recorded services, governance roles, client and matter types, delivery channels and geographic exposure
  • Six legal-sector risk prompts with human ratings, evidence and controls

Have ready

  • Organisation, supervisor, responsible roles, approver and review date
  • The regulated activities and operating facts for the SRA legal-practice business
  • Locations, customer types, geographic exposure, delivery channels and scope assumptions
  • A responsible person’s rating, evidence and reasoning for every sector risk prompt

Needs separate review

  • Scottish, Northern Irish or another UK legal supervisory route
  • Whether a service, matter or client is in scope or acceptable
  • Due-diligence, suspicion, reporting and final approval decisions

How it works

  1. Record the business routeEnter the organisation, supervisor, responsible roles, activities and approval details.
  2. Describe the operating contextRecord the actual footprint, customers, services, channels and SRA legal-practice facts.
  3. Rate and evidence each riskA responsible person selects each rating and records the business evidence, controls, gaps and reasoning.
  4. Download the working packReview unresolved fields, then create the nine editable and evidence files in the browser.

Where does this task apply?

Choose the guidance set this tool should use. The interface and outputs stay in English.

Using United Kingdom guidance.

Build a source-bounded AML working pack for the actual business.

Enter the operating facts once. The pack creates editable records for assessment, controls, customer work, governance, training, suspicion decisions and remediation.

Browser-localBusiness facts and risk notes stay on this device.
1

This route uses SRA material for solicitors and law firms in England and Wales. Record the professional body supervisor and the services within the 2017 Regulations. Use a different specialist route where another UK legal-sector supervisor applies.

2

These facts feed the risk-assessment draft. Use specific business language rather than generic statements.

Activities in this pack required
Legal sector operating facts

These answers make the assessment and procedures specific to this business. Record “Not yet confirmed” where the owner still needs to investigate.

3

The level is chosen by the responsible person. A rating without supporting business evidence remains incomplete.

6risk prompts
0rated
0with evidence
Property and conveyancing

Could the matter involve opaque ownership, third-party funds, rapid resale or unexplained price movement?

  • Use a client and matter risk assessment
  • Record source-of-funds decisions and evidence
  • Review material changes through completion
Client account misuse

Could funds pass through the client account without a genuine underlying legal service?

  • Require a clear legal-service purpose
  • Control receipts and payments to third parties
  • Escalate banking or transaction anomalies
Trust and company services

Does the matter create, sell or administer a structure that may obscure control or benefit?

  • Confirm TCSP scope
  • Map ownership and control
  • Record purpose and expected activity
Client and matter risk

Does each in-scope matter have a reasoned risk assessment connected to the firm-wide assessment?

  • Record client and matter factors separately
  • Name the assessor and date
  • Trigger review when facts change
Source of funds and wealth

Does the matter risk require evidence and a reasoned review of source of funds or wealth?

  • Record what was checked and why
  • Resolve inconsistencies
  • Do not rely on account statements without context
Privilege and suspicion escalation

Can staff identify when to escalate a concern and obtain specialist advice on privilege or disclosure restrictions?

  • Use a confidential internal route
  • Keep the nominated officer decision record
  • Do not automate privilege or reporting decisions
4

Every document carries the rule-pack version or source register. The editable files remain drafts until authorised people tailor and approve them.

01
Start HereHow to tailor, approve and store the pack
02
Business-wide risk assessmentDOCX with business context and sector risks
03
AML policies, controls and proceduresDOCX with governance and operating procedures
04
Customer and matter risk registerXLSX working register and sector prompts
05
CDD and EDD checklistCited PDF decision-support checklist
06
Governance and training registerXLSX appointments and learning record
07
Suspicion decision logRestricted-access XLSX template
08
Action planCSV remediation queue with owner and target date
09
Sources and assumptionsDated JSON manifest with rule-pack version
Nine-file legal sector packDraft with 6 unrated risks, 6 evidence gaps and no senior approver recorded.

Human decisions remain visible. The pack never assigns risk, confirms scope, approves a customer, determines suspicion or submits a report.

What this tool checks

The scope stays narrow so the result is clear and reproducible.

  • Uses the entered firm facts, selected services, governance roles and risk decisions once across the pack.
  • Includes six legal-sector risk prompts with editable client, matter, evidence and control records.
  • Keeps matter scope, due diligence, suspicion and final approval as named human responsibilities.

From official material to a working record

Official material sets the basis

Official UK material describes the AML obligations and sector context relevant to SRA legal-practice businesses.

The tool prepares the operational record

The starter pack applies the recorded business facts consistently across the risk assessment, procedures, registers, checklists and action record.

Official sources stay visible

Each supported check shows its jurisdiction, source title, source version and review date beside the result. Unsupported cases are rejected rather than estimated.

View this product's official sources

Questions before you use the tool

Scope, files, evidence and browser-local handling.

Which legal supervisory route does this pack support?

It supports an SRA-regulated solicitors practice or law firm in England and Wales. Scottish, Northern Irish and other UK supervisory routes need a different review.

Does the tool assign the risk ratings?

No. A responsible person chooses each rating and records the business evidence and reasoning behind it.

Are business and customer details uploaded?

No. Entered business facts, risk notes and generated working files remain in this browser.

Are the documents ready to adopt without review?

No. They are working drafts. Authorised people must resolve unfinished fields, tailor the content and approve it before use.

Prepare the SRA legal-practice working pack

Record the actual business, make each risk decision explicit and review every unfinished field before export.

Open the legal AML pack