Prepping can provide Insight
For many important aspects of life, preparation is important, so why not prep for a formal audit?
Preparation Brings Clarity
In most aspects of life, preparation matters. The same is true of compliance.
If you wouldn’t walk into a critical meeting unprepared, why approach a formal AML audit any differently?
👉 A little preparation today prevents regulatory pain tomorrow.
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The Quiet Risks of Doing Nothing
For many small law firms, AML compliance seems to tick along quietly in the background:
Policies in place
Checklists used
Files opened
On the surface, all appears well.
But when asked the simple question — “When did your firm last conduct an AML audit under Regulation 21(1)?” — silence, hesitation, or awkwardness often follow.
Some firms have never undertaken one. Others worry about what might be uncovered. Many delay, telling themselves they’ll “address it next year.”
Regulators, however, are not waiting.
👉 Coasting is not a compliance strategy.
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What a Mock Audit Really Is
A mock audit is not a formal Regulation 21 audit.
It is a voluntary, independent review conducted in a safe, discreet environment.
Think of it as a rehearsal:
🔹 Simulating a formal assessment
🔹 Highlighting weaknesses before they matter
🔹 Providing space to act before findings become official
It’s your opportunity to test your framework, close gaps, and demonstrate genuine commitment to improvement.
👉 Preparation builds clarity. Clarity builds confidence.
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The Benefits for Your Firm
Firms that invest in preparation through a mock audit gain:
🔹 Peace of mind — replace worry with understanding, and siloed effort with responsiveness.
🔹 Early insight — spot gaps while they are still manageable.
🔹 Stronger culture — show regulators, staff, and stakeholders that governance is active and engaged.
You’ll also engage in conversations that grow your AML confidence and embed compliance into the rhythm of your firm.
👉 The benefits compound — year after year.
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Take the Next Step
A Step Towards Certainty
Hesitation is common. Some firms fear the process; others fear the findings.
But a discreet, independent mock audit is not about criticism. It is about insight, foresight, and confidence.
If your firm has never undertaken a Regulation 21 audit — or if your framework hasn’t been reviewed in years — now is the moment to act.
At Alexander Christian, we deliver confidential mock audits that provide clear, practical insights without the weight of formal findings.
🎯 Because in AML compliance, prevention is not just prudent — it is essential.
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Disclaimer
Be aware that a mock audit is not a legal or regulatory requirement. It is not a substitute for a formal regulatory - Regulation 21(1) (c) Audit. Failure to have a Regulation 21 (1) (c) where it is appropriate can lead to fines and penalties.
This post is not legal or regulatory advice, nor is it to be construed as such. For legal and regulatory advice relevant to your individual circumstances please instruct your own appropriately qualified representative.