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COLP and COFA: Compliance in Practice 3nd ed


ISBN13: 9781787429192
Previous Edition ISBN: 9781783580514
Published: November 2022
Publisher: Globe Law and Business
Country of Publication: UK
Format: Paperback
Price: £149.00



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It is a condition of authorisation that all SRA-authorised law firms must have a compliance officer for legal practice (COLP) and a compliance officer for finance and administration (COFA), and that these individuals must comply with regulatory duties imposed on them personally.

Now in its third edition, COLP and COFA: Compliance in Practice provides the role-holders, and anyone concerned with supporting the role-holders, with essential information about regulatory and ethical standards and compliance procedures that will support the achievement of these standards and facilitate a good working relationship with the SRA.

Written by Tracey Calvert, a former employee of both the Law Society and the SRA, this edition has been updated to include the latest requirements as evidenced by the SRA Standards and Regulations, and includes lessons learned from supervisory and enforcement action.

Subjects:
Legal Practice Management
Contents:
Executive summary
About the authors
Chapter 1: The requirement to have a COLP and COFA
Chapter 2: Appointing your COLP and COFA
Chapter 3: Working with the SRA – understanding entity and risk-based regulation
Chapter 4: The COLP’s essential knowledge
Chapter 5: The COFA’s essential knowledge
Chapter 6: Identifying, recording and reporting non-compliance
Chapter 7: Compliance officers and international issues
Chapter 8: Behaviours outside of practice
Chapter 9: Personal perspectives