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Two CPD Hours £250 for full webinar package

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Vanessa Shenton

Vanessa is a solicitor, and has a history of providing services to the legal profession in several guises, including after the event legal expense insurance, costs negotiation and regulation and compliance.

Vanessa worked in two capacities for the Law Society and the SRA, more latterly as PSU advisor for London and the South East. In December 2009 Vanessa authored, “Preparing for a Practice Standards Unit Visit”, an ARK best seller.

Vanessa has a number of public appointments and relevant committee seats, in particular with the Law Society, on its Law Management Section and its Rules and Ethics Committees.

Introduction:

The thought of a visit from the SRA often instils trepidation for even the best-run firms. This course looks at the different SRA departments that may visit, and demystifies the processes involved in the most common visit, namely from the Practice Standards Unit (PSU). The greatest concern is not knowing which non-compliance might get firm in trouble.

The course looks at current priority areas which might result in a referral for investigation, as well as introducing future changes from 6 October 2011, with the advent of outcome focused regulation.

The PSU has adopted a tried and tested formula for many years. However, with changes to the SRA’s focus, priorities and its very structure, what might SRA visits look like in the future? How might the SRA react to breaches under the new regime? This two-hour course assesses these issues with a view to presenting delegates with a list of priorities to take forward.

Content:

• SRA visits now
• Who might visit and why
• SRA sources of information
• The visit process
• From notification to closing meeting
• Visit report/summary of breaches
• Follow up
• Referrals for investigation
• Statistics
• Hot topics
• SRA’s enforcement and regulatory powers
• The future under OFR
• New Handbook and Code
• A change in focus
• A new SRA structure
• SRA visits:
• Supervision and relationship management visits
• Risk based visits
• A different visit process and follow up?
• Different enforcement priorities?
• Your priorities