AML Certificate 2024

Yes, under Accounts Rule B9, completion of the AML Certificate is compulsory. The usual process for non-compliance will be followed where necessary, which may result in referral of a complaint to the Scottish Legal Complaints Commission.

No. The AML registration process, whereby firms must keep us informed of Partners, Beneficial Owners etc, is distinct from the AML Certificate.

Being up-to-date with your AML Registrations is not the same as being covered for your AML Certificate. You must still complete the AML Certificate process annually.

If your practice does not offer any of the services listed below, it may be that you do not need to submit an AML Certificate. You will need to satisfy yourself on the legal position.

Any practice that is exempt from reporting under the 2017 Money Laundering Regulations should complete a declaration of exemption to be entered in the firm's record.

If you do not yet have this, but believe you are exempt, you can either download and complete a Word version exemption declaration and send it to us at aml@lawscot.org.uk or you can complete an exemption declaration form online here.

The service provision bringing firms within scope of the Money Laundering Regulations are:

• the buying and selling of real property or business entities
• the managing of client money, securities or other assets
• the opening or management of bank, savings and securities accounts
• the organisation of contributions necessary for the creation, operation or management of companies
• the creation, operation or management of trusts, companies, foundations or similar structures
• forming companies or other legal persons
• acting or arranging for another person to act:
  • as a director or secretary of a company
  • as a partner of a partnership; or
  • in a similar capacity in relation to other legal persons
• providing a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or legal agreement
• acting or arranging for another person to act as:
  • a trustee of an express trust or similar legal arrangement; or
  • a nominee shareholder for a person other than a company whose securities are listed on a regulated market.

No. You should not complete the certificate, if you are registered outside of Scotland.

We require all practices within the scope of the AML regulations to complete an AML Certificate for the period that they have been operating within the 'relevant period'. These practices are then required to complete the AML Certificates in full each year thereafter.

Previously, any practice that we recorded as starting after 1 July in the 'relevant period' was not required to complete the AML Certificate for the year in which they started operating. However, this was changed.

The MLRO should sign in to the members' area of our website using their own credentials, then select AML from the menu on the left hand side. They should then select the AML Certificate tab, read the notes and scroll down to begin completing the form.

Please remember to use the 'Select Firm' box to confirm the practice that you are completing on behalf of.

Please also note that the certificate is available to download and print as a Word document to aid you in completion. You may also wish to save this for future submissions.

Our guidance booklet and videos also offer a visual guide of the process.

For the 2024 AML Certificate, the deadline for submission will be Wednesday, 30 April 2025.

Some fields are mandatory. The most likely reason that you cannot submit your certificate is that you have not completed all of the mandatory questions. If your answer to any question is No/None, 0, or Not Applicable, this must still be entered.

Please also remember to complete the 'Position within the Firm' and 'Select Your Firm' fields on the first page.

Yes, a Word copy of the certificate is available to download above.

A Word copy will also be available at the bottom of the AML Certificate tab when you login to the portal in the AML section of the members area.

Please note that these copies of the certificate are for reference only and your AML Certificate must be completed and submitted online.

The time taken to complete the certificate will be dependent on a range of factors within your business, for example the information systems you use or staff knowledge. It is recommended you begin completing the certificate as soon as possible. Please note, while it may take some time to complete it in the first year, you will then have a good base from which to complete the certificate going forward.

Having a system in place to record information necessary for completion of your AML Certificate going forward is recommended and your case management provider may be able to help you.

No, the AML Certificate can be completed over a number of sessions.

Please make sure you select your firm via the 'Select Firm' box before you log out or your changes may not be saved.

Accuracy is important when completing the certificate, as the answers you provide allow the Law Society to profile the risks inherent across the sector and at individual practice level. It also supports us in adopting a risk-based approach to our supervisory inspection regime, minimising impact to both the Law Society and those practice's selected for inspection

The information we request is information we expect practice's to collate in order to satisfy regulatory and practice rule requirements, and will allow practice's to demonstrate good AML control and governance to the Society in line with LSAG Guidance. Firms should therefore be able to answer the questions posed with a high level of accuracy, based on records held by the practice.

To help you, please familiarise yourself with the AML Certificate guidance available on this page, as well as checking the information 'pop up' boxes where they appear as an ‘I’ next to questions within the certificate portal.

If you have further questions, please contact us at aml@lawscot.org.uk.

The MLRO must submit the form. A designated person may be set up to enter information into the portal, but the MLRO remains responsible for the information entered and must submit the form. The MLRO should login to the portal using their individual details, rather than firm login details. 

The MLRO should email member.registration@lawscot.org.uk to name a designated person. They should provide the full name, company, business address, phone number, email address and date of birth of the designated person. That person will then be assigned specific login details to allow them access to the form.

No, you do not need to submit a PWRA with your AML Certificate.

Previously, part of the AML Certificate process was to provide a copy of your PWRA along with your AML Certificate. However, this is no longer a requirement.

Nevertheless, the requirement to maintain a PWRA remains a statutory obligation within the Money Laundering Regulations 2017 (Reg. 18) and you should have one in place. Our AML Toolkit has a PWRA template should you require one.

No. Under our memorandum of understanding with the Solicitors' Regulation Authority (SRA), firms that have a head office in Scotland come under Law Society of Scotland supervision and so won’t need to complete the SRA's AML questionnaire. Read more about our unified approach here.

The responses will be used to assign inherent AML risk profiles across our supervised population. An inherent AML risk profile is a consideration of your firm’s AML risk before any mitigating controls are put into place and is therefore not a reflection of, or judgment on, your policies, controls and procedures or your firm’s ability to mitigate risk. The results of any analysis will inform our risk-based approach to supervision.

The data is stored in our internal data management system, along with all other information about firms that we hold. The data is also drawn down into a protected Excel dashboard platform to allow any risk analysis to take place. More information can be found in our privacy policy.

We will store data for up to five years for each AML Certificate return.

We do not intend to share your data outside of the regulatory functions of the Law Society of Scotland. However, where our regulator (OPBAS) carries out any audit of our files, it may have sight of the data as part of that audit function. Collated or anonymised data may be used to educate or inform governmental departments as well as our membership. At all times we remain bound by the reporting obligations contained in the Proceeds of Crime Act 2002 and other legislation.