COLP - Your Duties Update 2019

Essential guidance for law firm compliance officers

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Course Overview

COLPs (Compliance Officers for Legal Practice) have always had a difficult job to do being, as they are, primarily responsible for ensuring compliance with the SRA’s Handbook. As the SRA relax those rules the role is becoming more onerous and other alterations to the operating framework have increased the pressures on them considerably.

This webinar will look at recent developments and will consider the role of the COLP afresh in the light of them. They include a new focus on AML/TF risk assessments, key issues arising from the GDPR in practice as well as changes to the Handbook, Accounts Rules, the Transparency Regulations, Criminal Finances Act 2017, SRA logo, new suggestions as to how to deal with VAT on disbursements and the changes to the structures of practice that are occurring already.

Delivered by compliance consultant and trainer Trevor Hellawell of ExL Practice Development, this 60-minute webinar will cover the following topics:

•   The role of the COLP generally
•   New STaRs 2019
•   Rule changes and their implications:
        o Changes to the Practicing Environment
              o Codes of Conduct
              o Structures of Practice
              o Waivers
              o Accounts Rules (in outline)
        o Key GDPR issues for the practice
        o CFA 2017
        o Transparency Rules 2018
        o SRA logo
        o AML/TF Risk assessments
        o Brexit?
•   The role now – who wants it?

What are the requirements?

  • Watch the recorded webinar, review the supporting documentation and complete the short quiz to test your legal knowledge
  • This course provides 1 CPD point

Learning Outcomes

  • On completion of this course you will have a greater understanding of what is expected of you as the COLP and how your role will change in light of the new SRA Accounts Rules

What is the target audience?

  • This course is for current and prospective COLPs

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About Instructor - Trevor Hellawell

Trevor is a solicitor and legal training and management consultant; Until going freelance in 1999 Trevor was a full time lecturer with the University of Law, ending his career as a Principal Lecturer at the York Branch. Until recently he was Head of Law Programmes at BPP. Throughout his career, he has lectured extensively on Professional Conduct, Management skills such as Client Care, Time Management and Appraisals, Financial Services matters, including Money Laundering, as well as mainstream academic law subjects.

Course Curriculum

Recorded Webinars

  • Webinar
    00:55:59

Supporting Documentation

  • Slides
    52 Page

Quiz

  • Quiz
     

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