Compliance Officer for Legal Practice: COLPs Toolkit 2nd ed

Since the introduction of COLPs, the SRA has simplified some of the procedures for the approval, declaration and notification of changes to the role. These changes, as well as additional new templates, are included in this updated second edition, for both new and existing COLPs.

This essential toolkit contains a mixture of draft policies, procedural checklists and other instruments demonstrating due diligence to assist practitioners.

This fully updated edition will include a new chapter, Additional Tools for COLPs, as well as several new and revised templates, including:-

• A revised risk register
• A COLP nomination form
• A checklist for new COLPs
• A routine compliance activities checklist
• A key staff monthly feedback report
• A checklist of action in a suspected breach
• Data protection and loss policies
• Audit and file review forms.

This new edition will help all those responsible for ensuring processes are in place to enable the firm, its managers and employees, and anyone who has any interest in the firm to comply with the SRA Handbook.