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COFAs Toolkit: Compliance Officer for Financial Administration 2nd ed


ISBN13: 9781784460549
Previous Edition ISBN: 9781907698477
Published: August 2020
Publisher: Law Society Publishing
Country of Publication: UK
Format: Paperback
Price: £60.00



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Every law firm is required to have a Compliance Officer for Finance and Administration (COFA). They have two key responsibilities:

  • to ensure compliance with the SRA Accounts Rules throughout the firm, and
  • to ensure a prompt report is made to the SRA of any serious breach of the Accounts Rules

This toolkit will help COFAs and anyone working in the accounts department of a law firm to implement and oversee systems to ensure compliance with the SRA Accounts Rules.

The book and accompanying CD-ROM include:

  • procedural checklists
  • recording and monitoring forms
  • draft letters to the SRA, and
  • guidance on matter file reviews and common breaches of the Accounts Rules

This second edition has been updated and expanded to reflect the implementation of SRA Standards and Regulations in November 2019 and includes additional guidance on the new Accounts Rules and a copy of the Rules.

Subjects:
Professional Conduct and Ethics
Contents:
1. Overview of the principal regulatory requirements relevant to COFAs
2. Becoming a COFA
3. Responsibilities of the COFA
4. Further guidance
Appendices

Series: Risk and Compliance Service

Anti-Money Laundering Toolkit 3rd ed ISBN 9781784461676
Published July 2021
Law Society Publishing
£60.00
COLPs Toolkit 3rd ed (Compliance Officer for Legal Practice) ISBN 9781784461522
Published October 2020
Law Society Publishing
£60.00
Anti-Money Laundering Toolkit 2nd ed ISBN 9781784460785
Published May 2018
Law Society Publishing
Out of print
Compliance Officer for Legal Practice: COLPs Toolkit 2nd ed ISBN 9781784460457
Published September 2016
Law Society Publishing
Out of print
Complaints Handling Toolkit ISBN 9781907698675
Published October 2014
Law Society Publishing
£59.95
Equality and Diversity Toolkit ISBN 9781907698736
Published April 2013
Law Society Publishing
Out of print
Anti-Bribery Toolkit
Amy BellAnti Bribery
ISBN 9781907698347
Published April 2012
Law Society Publishing
£59.95