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Course COLPs, COFAs and Managing Compliance 2019

Overview


COLPs COFAs and Managing Compliance 2019

Attendance at this course will be helpful for those stepping into either of the reporting officer roles by way of replacement to a previous incumbent or to anyone seeking to establish a new practice through the SRA's authorisation process. In both cases the SRA will be likely to question the degree of understanding by the proposed office holders of their roles and responsibilities and an awareness of the range of issues under their control. The course also provides an overview of the compliance regime and so will be helpful for anyone who has senior management responsibilities within their practice.

This highly practical course will explain the background to the reporting officer roles required by the SRA Authorisation Rules and how the relationship with the regulator needs to be managed. We also examine how compliance management will change in an era of less detailed Code of Conduct and Accounts Rules as now planned by the regulator. The session will also cover guidance on how to compile suitable compliance materials and will feature any up to date regulatory developments at the time of the course.

Topics covered include:

  • The roles of COLP and COFA - an explanation or reminder
  • Compliance materials and reporting obligations
  • The Code of Conduct and the Accounts Rules - likely breaches
  • The duties to monitor, record and possibly report
  • Compliance update, including the GDPR

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Details


Hot
Type
Course
Level
Foundation
CPD
6 hours
SRA

Fees


£210.00
Package Price
Click here for details

£480.00
Non Member

(Excluding VAT)

Speakers


Matthew MooreDetails

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Book

Wed 13 Mar 2019 Book

09:30 | London
Matthew Moore

Thu 20 Jun 2019 Book

09:30 | Sheffield
Matthew Moore

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