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Compliance Officer For Legal Practice (COLP) Course
By DG Legal
- 30 Day Money Back Guarantee
- Completion Certificate
- 24/7 Technical Support
Highlights
Delivered Online
3 hours
All levels
Description
The COLP role goes beyond just ensuring your firm follows the rules in the SRA Standards and Regulations, it also comes with a personal accountability factor that demands your attention.
Fear not! This 3 hour course will usher you through the intricacies of being a COLP, ensuring you not only meet but excel in your regulatory obligations.
The course will cover:
Navigating the Regulatory Landscape: Understanding the Framework for COLPs
Dive into the intricate regulatory framework that Compliance Officers for Legal Practice (COLPs) operate under.
Shouldering the Responsibility: Unpacking the Duties of a COLP
Explore the multifaceted responsibilities that come with the role of a COLP.
Choosing the Right Leader: Identifying the Ideal COLP Candidate
Learn the criteria for selecting the most suitable individual to take on the crucial role of COLP.
Cracking the Codes: Key Elements of Codes and SRA Principles
Delve into the essential components of the Codes and SRA Principles that form the backbone of legal compliance.
Building a Robust Foundation: Understanding Compliance Systems for All Firms
Explore the concept of compliance systems, what they entail, and why every firm should have one in place.
Reporting Matters: Recognising 'Serious' Issues, SRA Enforcement Strategy, and Reporting Protocols
Uncover the definition of 'serious' matters, grasp the SRA Enforcement Strategy, and gain practical insights on making effective reports to the SRA.
Paper Trails Matter: Effective Record Keeping, Including Non-material Breaches
Master the art of comprehensive record-keeping, including strategies for recording non-material breaches, and understand why it's integral to compliance.
Personal Liability: Understanding and Mitigating Risks
Navigate the landscape of personal liability for COLPs and develop strategies to mitigate associated risks.
Staying Ahead: Keeping Abreast of Regulatory Changes and Guidance
Develop effective strategies for staying up to date with dynamic regulatory changes and evolving guidance.
Planning for Compliance: Crafting a Robust Strategy, Assessing Risk, and File Reviewing
Formulate a comprehensive plan for tackling compliance, including risk assessment, maintaining risk registers, and implementing effective file reviewing.
Across the Board: Legal and Regulatory Compliance Areas Every COLP Must Master
Gain a high-level overview of crucial legal and regulatory compliance areas, including AML, transparency rules, and other pivotal aspects that demand the attention of all COLPs.
Target Audience
This online course is suitable for those new to the COLP role, or those supporting the COLP and for those that would like a refresher of the role and their responsibilities.
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
Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services.
Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).
Frequently Asked Questions
Will I receive a Zoom link before the event?
Yes, prior to the event a link will be sent to the email address used to register for the course so please ensure the delegate details are correct.
Will I be able to view a recording of this Course after the event?
No, a recording will not be made available.
Do you provide a certificate of attendance?
For our Premier Training courses, please email us at teamadmin@dglegal.co.uk after the event if you require a certificate of attendance.
Will you provide a copy of the slides?
The slides will be distributed by email after the event
Are there any accompanying notes?
Yes and these will be distributed by email after the event.
Terms and Conditions
- Bookings may only be cancelled by written notice received by us not less than 10 working days before the date of the course. We cannot accept cancellations by telephone. The delegate fee will be credited to you less an administration charge of £25 + VAT per delegate booking that is cancelled. Refunds of delegate fees for late cancellations (i.e. cancellations received by us less than 10 working days before the date of the course) will not be refunded. Failure to attend the course will constitute late cancellation and payment will still be due or forfeit if already paid.
- You may notify us of a substitute delegate at any stage, without charge.
- DG Legal reserves the right to vary or cancel a course where the occasion necessitates. We will refund any payment made in respect of a cancelled course but otherwise do not accept any liability for a course not taking place.
Dates
- Delivered Online, to£135 - £180+ VAT
- Delivered Online, to£135 - £180+ VAT
- Delivered Online, to£135 - £180+ VAT
- Delivered Online, to£135 - £180+ VAT
- Delivered Online, to£135 - £180+ VAT
About The Provider
DG Legal
Leicestershire
Established in 2000, DG Legal is the largest provider of strategic and compliance services operating in England and Wales.
Our strategy is to recruit and retain only leading consultants in their respective fields of expertise. Each member of the team has either worked for or pro...
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