701 Compliance courses in Wideopen delivered Live Online

Despite being a requirement under the Money Laundering Regulations 2017 (MLR 2017), in 2023/24 the SRA found that 19% of files reviewed did not contain a client and matter risk assessment (CMRA), with a further 12% of files containing ineffective CMRAs.  At best, the firms conducting these files were putting themselves at risk of regulatory action for failure to comply with the MLR 2017. More seriously, firms may have been facilitating money laundering through their failure to adequately assess and address the risks posed by clients and matters.  The SRA has issued a number of significant fines to firms with no, or insufficient, CMRAs in place. In the year August 2024 to July 2025, firms were fined over £950,000 where ineffective or missing CMRAs were noted.  Although a firm’s MLRO, MLCO or its managers bear ultimate responsibility for ensuring its compliance with the MLR 2017, it is the responsibility of all those working on behalf of the firm to conduct and document the appropriate processes and checks on a day-to-day basis. Therefore, it is imperative that all staff understand not only how to complete a CMRA, but also the importance of doing so thoroughly and correctly.  This course will assist fee earners and support staff in confidently and competently completing client and matter risk assessments, understanding the types of risks to be identified and the importance of correctly identifying these.  Where the SRA has found failings at firms in respect of CMRAs, it has almost unanimously also found shortcomings in other areas of AML compliance. Where concerns are raised regarding a firm’s compliance with any aspect of the MLR 2017, the SRA will probe further and look into all areas of AML compliance. For information about DG Legal’s full range of AML training courses, please visit https://dglegal.co.uk/training/upcoming-premier-training-courses/.  Target Audience This online course is suitable for staff of all levels, from support staff to senior partners. Resources Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Paul Wightman, Consultant, DG Legal A qualified barrister, Paul graduated in Law from Birmingham University and was called to the Bar in 1994. He subsequently spent almost 20 years working for the Law Society of England and Wales, initially within the Office for the Supervision of Solicitors, then the Legal Complaints Service (LCS), and ultimately the Solicitors Regulation Authority (SRA). Paul is adept at undertaking audits and providing succinct reports on areas for improvement and can assist firms with advice on all aspects of SRA compliance and Anti-Money Laundering procedures.

Overview This training course is structured around the ISO 31000:2009 framework, principles and processes. It will also demonstrate how to develop internal control mechanisms and explain how to measure risk in terms of probability and potential impact, at the same time as ensuring that the organisation complies with increasingly strict international standards of corporate governance.

  ISO 45001 is the first global occupational health and safety management system standard that replaces OHSAS 18001. The IECB Certified ISO 45001 Lead Auditor training course helps in developing the necessary skillset to perform occupational health and safety management system (OH&S MS) audits by applying widely recognized audit principles, procedures, and methods.   About This Course   This training course has been developed to reflect the importance of an effective internal audit. It strengthens your knowledge and skills to plan and carry out an OH&S MS audit in compliance with the guidelines for auditing management systems provided in ISO 19011 and the certification process described in ISO/IEC 17021-1. The exercises provided for this training course are designed to help you practice the most important aspects of an OH&S MS audit: ISO 45001 requirements, auditing principles, tools and techniques used to obtain evidence, leading a team of auditors, conducting interviews with auditees, reviewing documented information, drafting nonconformity reports, and preparing the final audit report. The successful completion of the training course is followed by an exam. If you pass the exam, you gain the 'Certified ISO 45001 Internal Auditor' credential, which validates your professional capabilities and demonstrates your ability to audit an OH&S MS based on ISO 45001.   Learning objectives By the end of this training course, the participants will be able to: Explain the foundational concepts and principles of an occupational health and safety management system (OH&S MS) based on ISO 45001 Interpret the ISO 45001 requirements for an OH&S MS from the perspective of an auditor Evaluate the OH&S MS conformity to ISO 45001 requirements, in accordance with the foundational audit concepts and principles Plan, conduct, and close an ISO 45001 internal audit, in accordance with ISO/IEC 17021-1 requirements, ISO 19011 guidelines, and other best practices of auditing Manage an ISO 45001 internal audit programme   Educational approach This training course is participant centred and contains: Theories, best practices used in occupational health and safety management auditing Lecture sessions, which are illustrated with practical exercises based on a case study that includes role-playing and discussions Interactions, made between participants by means of questions and suggestions Quizzes, which are a simulation and preview of the certification exam   Course Overview Module 1 Foundational principles and concepts of an occupational health and safety management system Module 2 ISO 45001 requirements for an OH&S MS - Clauses 4 to 10 Module 3 Foundational audit concepts and principles Module 4 Preparing for an ISO 45001 audit Module 5 Conducting an internal ISO 45001 audit Module 6 Closing an ISO 45001 audit Module 7 Managing an ISO 45001 internal audit programme   Course Agenda Day 1: Introduction to OH&S MS and ISO 45001 Day 2: Audit principles and the preparation for and initiation of an audit Day 3: On-site audit activities and closing the audit, as well as the Certification exam Accreditation Assessment   All candidates at official training courses are tested throughout their course with quizzes and exercises, in combination with a final exam held on the last day of the course. Both elements are a part of the overall score. For this course, the final exam constitutes a 10 question essay type exam which should be completed within 125 minutes. A passing score is achieved at 70%. Self-study candidates can purchase an exam voucher from our Store. Exam results are returned within 24 hours, with successful candidates receiving both a digital badge and a Certificate of Achievement   Prerequisites   The main requirements for participating in this training course are: a foundational understanding of ISO 45001 and a comprehensive knowledge of audit principles. Provided by   This course is Accredited by NACSand Administered by the IECB What's Included?   Refreshments & Lunch (Classroom courses only) Course Slide Deck Official Study Guides CPD Certificate The Exam Who Should Attend?   Auditors interested in performing OH&S MS internal audits Managers or consultants interested in advancing their knowledge of the OH&S MS audit process Internal auditors and individuals responsible for maintaining conformity to the requirements of ISO 45001 Technical experts interested in preparing for an OH&S MS audit Expert advisors in occupational health and safety management

Source of funds and source of wealth are two important verification steps a firm can take to identify potential money laundering activities or other financial crime. The Money Laundering Regulations 2017 (MLR 2017) require firms, where necessary, to scrutinise the source of funds of a transaction to ensure they are consistent with their knowledge of the customer, their business and risk profile. In addition, where a matter is considered to be higher risk and therefore subject to enhanced due diligence, firms must also investigate the client’s overall source of wealth. Law firm staff must be able to differentiate between source of funds and source of wealth, having knowledge of how to verify each and identify any anomalies that do not align with their understanding of the client or the matter. Staff must have the knowledge and confidence to challenge clients and seek further clarification where the source may be unclear or highlight concerns. A number of firms who failed to sufficiently identify the source of funds and/or source of wealth have recently been fined by the SRA. In the year August 2024 to July 2025, fines in excess of £475,000 were recorded for AML breaches that included source of funds and source of wealth failings. This course will assist fee earners and support staff in understanding the difference between source of funds and source of wealth, enabling them to capably identify and verify funds in a matter. Where the SRA has found failings at firms in respect of source of funds or source of wealth, it has almost unanimously also found shortcomings in other areas of AML compliance. Where concerns are raised regarding a firm’s compliance with any aspect of the MLR 2017, the SRA will probe further and look into all areas of AML compliance. For information about DG Legal’s full range of AML training courses, please visit: https://dglegal.co.uk/training/upcoming-premier-training-courses/. Target Audience This online course is suitable for staff of all levels, from support staff to senior partners. Resources Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Paul Wightman, Consultant, DG Legal A qualified barrister, Paul graduated in Law from Birmingham University and was called to the Bar in 1994. He subsequently spent almost 20 years working for the Law Society of England and Wales, initially within the Office for the Supervision of Solicitors, then the Legal Complaints Service (LCS), and ultimately the Solicitors Regulation Authority (SRA). Paul is adept at undertaking audits and providing succinct reports on areas for improvement and can assist firms with advice on all aspects of SRA compliance and Anti-Money Laundering procedures.

This module aims to develop knowledge and practical skills in Import/Export Customs Diagnostic enabling the learner to create a procedural manual to complete international trade operations.

It is a requirement within codes of practice e.g., BS 5839-1, and within legislation e.g., Health & Safety at Work Act 1974, that duties are placed upon employers and employees regarding health & safety and in particular electrical safety.

Managing people and teams is consistently the biggest challenge raised by new managers (and even many experienced managers). This 3 hour course is aimed at introducing new and existing supervisors and managers to key supervisory skills, allowing them to develop their competence as supervisors. The course covers: Understanding your role as a supervisor SRA obligations and competence expectations Setting expectations and effective delegation Monitoring progress and quality Managing performance in difficult situations Top tips for impactful feedback By the end of this course participants will have had an opportunity to consider their current skills; develop new skills; and think about further development needs. Target Audience This online course is aimed at managers, team leaders and other supervisors. Please note that this course does NOT meet the LAA requirements as a Supervisor Course. If you need a Legal Aid Supervisor course, then please check out our Supervision & Managing Performance Course. Resources Course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Matthew Howgate, Consultant, DG Legal Matt is a non-practising solicitor who has considerable experience in regulatory issues and advising on complex issues of compliance and ethics. He is also an expert in data protection, UK GDPR and on the civil legal aid scheme. Matthew is a lead trainer on and co-developed the LAPG Certificate in Practice Management (a training programme for legal managers and law firm owners) as well as regularly providing training on legal aid Supervision, costs maximisation, data protection and security and on general SRA compliance.

Enhance your dental practice's safety and compliance with our 3-hour CPD accredited Dental Practice Legionella Responsible Person Course. Designed for Practice Owners, Registered Managers, and Senior Infection Control Leads, this online course offers expert guidance on legionella management, aligning with HSE ACOP L8, HSG274 Part 2, HTM 04-01, and HTM01-05 standards. Gain advanced understanding and confidence in legionella prevention in dental settings. Receive a GDC-compliant CPD Certificate upon completion. Join our live sessions led by skilled instructors for a transformative learning experience in dental health and safety management.

QA Level 2 Award In Principles Of COSHH (RQF) Face to Face: Half-day course Virtual Classroom: Spread over 2 sessions of 2½ hr duration COSHH: Control of Substances Hazardous to Health Regulations 2002 Hazardous substances are everywhere, and COSHH assessments have to be undertaken in all businesses Run in an engaging and interactive way - see the video below Course Contents: Legal requirements relating to hazardous substances in the workplace Employer duties Employee duties Consequences of non-compliance Communicating safety information The different forms that hazardous substances can take Effects that may arise after exposure to hazardous substances The different routes that hazardous substances can enter the body How risk assessments reduce accidents and ill health at work The five step process of risk assessment The control hierarchy in relation to the safe use, handling, transporting, storage and disposal of substances hazardous to health Information to refer to when identifying and using hazardous substances Procedures for dealing with an incident involving hazardous substances Benefits of this course: COSHH stands for the 'Control of Substances Hazardous to Health' and falls under the Control of Substances Hazardous to Health Regulations 2002 This half day course is for all those who work, or wish to work, in a workplace that works with hazardous substances, such as in healthcare, in the manufacturing sector, cleaners, transport, utilities and even office environments Hazardous substances are everywhere, and COSHH assessments have to be undertaken in all businesses Candidates will learn about the legal requirements relating to hazardous substances, how risk assessments contribute to the safe use of hazardous substances, as well as the precautions and procedures required to ensure that the risks associated with hazardous substances are properly controlled Accredited, Ofqual regulated qualification: This QA Level 2 Award in Principles of COSHH (RQF) Course is a nationally recognised, Ofqual regulated qualification accredited by Qualsafe Awards.This means that you can be rest assured that your Principles of COSHH Certificate fulfills the legal requirements and is a very good way to make sure you and your employees are trained appropriately.The Ofqual Register number for this course is 603/0775/4

Duration 1 Days 6 CPD hours This course is intended for This course is designed for students who already have experience creating Modern SharePoint sites and populating them with content, who want to learn advanced features to extend SharePoint's capabilities, make information easier to find and manage, use SharePoint features to improve governance and compliance, and improve the security of information and services within the SharePoint environment. Overview Create a custom site template to reduce the time spent creating similarly configured SharePoint sites. Configure managed metadata, including custom term sets, content types, and metadata-based navigation. Control access through permissions. Improve overall security of sites, lists, libraries, folders, list items, and documents. Microsoft© SharePoint©, in conjunction with the Microsoft 365? productivity and office automation suite, provides tools to create and manage a corporate intranet, facilitate content sharing and collaboration, and enable users to create, access, store, and track documents and data in a central location. Users who already have experience as SharePoint site members and owners may be ready to move on to more advanced site-building tasks such as using custom site templates, custom themes, applying advanced permissions settings, improving security, and preparing sites to support governance and compliance. Advanced site builders may be ready to undertake more advanced site management tasks, working in conjunction with their SharePoint Administrator to create and use custom site templates, term sets and metadata, manage information governance and compliance, and get deeper into SharePoint security configuration. This course focuses on these advanced site-building and administration tasks. Prerequisites To ensure your success in this course, you should have SharePoint site user skills such as the ability to view and enter data in SharePoint lists and libraries, and to navigate a typical SharePoint site. You should also have intermediate site builder skills such as the ability to create a SharePoint site, apply a site template, populate sites with pages, create lists and libraries, and connect a site to a hub site. NOTE: This course was developed using Microsoft 365 Business Standard edition. If you opt to use one of the Enterprise editions, be sure to key the course activities before you deliver the class so you will be able to anticipate any differences that students might see with the edition you use. Lesson 1: Creating Custom Site Templates Topic A: Prepare a Site Script Topic B: Generate and Use a Custom Site Template Lesson 2: Managing Content Services Topic A: Plan and Configure Managed Metadata Topic B: Create and Manage Content Types Topic C: Use Managed Metadata for Navigation and Filtering Lesson 3: Controlling Access Through Permissions Topic A: Assign Permissions Topic B: Manage Permissions Inheritance Lesson 4: Improving Security Topic A: Manage Access at the Site Level Topic B: Manage Access at the Tenant Level