How not to conduct source of funds checks - A Cautionary Tale from the SDT
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How not to conduct source of funds checks - A Cautionary Tale from the SDT
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In this episode of The ANL Clinic, we dive into one of the most critical and often misunderstood areas of financial crime prevention: the difference between source of funds and source of wealth.
We explore a real Solicitor Disciplinary Tribunal case involving a politically exposed person, a £1.1 million transaction and a £1.9million transaction, and serious gaps in due diligence.
Key takeaways:
- Why distinguishing source of funds vs source of wealth matters
- The risks of relying on third-party assurances
- How compliance failures can lead to disciplinary action
SRA | Thematic review of source of funds and wealth compliance | Solicitors Regulation Authority
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