The new ‘Standards and Regulations’ regime which will replace the current SRA Handbook takes effect on 25 November 2019. This is a regulatory development that no firm can afford to ignore. This detailed half-day course will cover the changes that have been made to the regulatory regime and explain what they will mean for you and your firm.
The revised publication is much shorter in length and marks a deliberate move towards principles-based, as opposed to rules-based, regulation. We will consider quite what this more open-ended approach will mean in practice and what changes firms should therefore make to their internal management arrangements to ensure continued compliance. This course should be seen as a “must” for COLPs, COFAs and anyone else with compliance responsibilities.
This practical course covers:
The background to the changes – why was there a need to change and who was consulted?