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Compliance Officer For Legal Practice (COLP) Course
Compliance Officer For Legal Practice (COLP) Course
Compliance Officer For Legal Practice (COLP) Course
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Compliance Officer For Legal Practice (COLP) Course

Dates

  • • to
    Delivered Online
    £168 - £224+ VAT
    Book
    This course will take place in 2026
  • • to
    Delivered Online
    £178.50 - £238+ VAT
    Book
    This course will take place in 2027
  • • to
    Delivered Online
    £178.50 - £238+ VAT
    Book
  • • to
    Delivered Online
    £178.50 - £238+ VAT
    Book
  • • to
    Delivered Online
    £178.50 - £238+ VAT
    Book

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 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 Torresi, Consultant, DG Legal

Helen Torresi.png

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).

📋 Booking & Course Administration

Frequently Asked Questions

  • Terms and Conditions
    1. 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. 
    2. Where a delegate requests that their booking be transferred to a future course date, and DG Legal agrees to such transfer, the booking shall be deemed confirmed for the new course date. The delegate will not be entitled to subsequently cancel the transferred booking and rely upon the 10-working-day cancellation period in relation to the new course date. Any cancellation of a transferred booking will be treated as a late cancellation and no refund will be payable.
    3. You may notify us of a substitute delegate at any stage prior to the start of the course, without charge.  
    4. 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.
  • Can I view your Data and Privacy Notice?

    Of course, this can be located on our website here: Data and Privacy Notice

  • I've booked onto the wrong course. What should I do?

    It is the responsibility of the person making the booking to ensure they select the correct course. We recommend reading the course description in full before booking. If you are unsure whether a course is suitable for you, please contact us at teamadmin@dglegal.co.uk for guidance before booking.

    If you realise that you have booked onto the wrong course, please email teamadmin@dglegal.co.uk as soon as possible and before the course takes place. Subject to availability, we may be able to transfer your booking to the correct course. Where there is a difference in course fees, a partial refund or an additional payment may be required.

    Please note that requests to change courses after the course has started will be treated as a late cancellation, and no refund will be available.

  • Should I book using the General Delegate rate or the Retainer Delegate rate?

    The majority of delegates should choose the General Delegate rate.  


    A discount is available for delegates attending from firms with a current retainer contract with DG Legal i.e. firms that are paying a monthly or annual subscription for our Retainer Service (please contact us by emailing teamadmin@dglegal.co.uk for confirmation of eligibility). If you choose the Retainer Delegate option and are not eligible, you are still bound to pay the full rate and will be invoiced accordingly.

💻 Joining the Course

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.

    To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • Can I get a reminder before the course starts?

    Course reminder emails are typically sent one day before and one hour before the course start time. However, delegates should not rely solely on these reminders.

    It is the delegate’s responsibility to note the course date and time, adjust for any local time zone differences where applicable, and join the course promptly at the scheduled start time. Courses will commence as advertised, regardless of whether a reminder email has been received.

    If you have not received a reminder, please check your junk or spam folder. To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • What if I join the course late?

    All courses will start promptly at the scheduled time.  We recommend joining a few minutes early to check your connection and ensure you are ready for the prompt start of the course.

    It is the delegate's responsibility to ensure they join the course on time. Late arrivals may miss important information, course content, or activities that take place at the start of the session.

    Delegates are responsible for checking the scheduled course time, accounting for any time zone differences, and joining the session promptly when it begins.

    In accordance with our terms, failure to attend the course will constitute late cancellation and payment will still be due or forfeit if already paid. 

  • What time zone are the course times shown in?

    All course times are quoted in UK time. If you are joining from outside the UK, please ensure you convert the course time to your local time zone before attending.

    Delegates are responsible for checking the scheduled course time, accounting for any time zone differences, and joining the session promptly when it begins.

📚 Course Materials & Resources

Frequently Asked Questions

  • Are there any accompanying notes?

    Yes and these will be distributed by email after the event.

    To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • Will you provide a copy of the slides?

    The slides will be distributed by email after the event.

    To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • I have not received the course handouts. What should I do?

    Course handouts are usually emailed to delegates on the same day as the course. In some cases, they may be sent on the next working day, particularly if the course finishes at or after 5pm UK time. Where there is likely to be a delay, delegates will be informed during the course.

    If you have not received the handouts within one working day of the course, please check your junk or spam folder. If you are still unable to locate them, please contact us at teamadmin@dglegal.co.uk.

    To help ensure that future course communications, access details and handouts are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • Your email states a handout should be attached but it is missing, how do I obtain a copy?

    If an email states a document is attached but it is missing from the email, it is possible that your IT support has blocked this.  Please forward the relevant email to teamadmin@dglegal.co.uk requesting the missing document and this will be sent to you.

    To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

🎥 Recordings & Attendance

Frequently Asked Questions

  • Can I record or transcribe the training session?

    No, recording or transcribing of the training session is not allowed.  If you attempt to record or transcribe the session or are found to be recording or transcribing the event, you may be removed from the session and you will not be eligible for a refund.

  • Will I be able to view a recording of this course after the event?

    No, a recording will not be made available.

  • What should I do if I require 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.

    Please ensure that you join the webinar using a Zoom account in your own name. We use Zoom attendance reports to verify attendance, and joining via a colleague's account or under a different name may make it difficult for us to confirm that you attended the session.

    To help ensure course communications are delivered to your inbox, we recommend adding @system.cademy.io to your safe senders list.

  • How can I ensure my attendance is recorded correctly?

    To help us verify your attendance and issue a certificate where required, please join the webinar using your own Zoom account and ensure your display name matches the name you registered with. If you attend using a colleague's Zoom account, a shared registration, or an unidentifiable display name, we may be unable to confirm your attendance or provide a certificate of attendance.

  • I didn't attend the course. Can I still receive a certificate of attendance?

    No. Certificates of attendance are only issued to delegates whose attendance can be verified. We check Zoom attendance reports before issuing certificates, and certificates can only be provided where attendance is evidenced within those records.

    In accordance with our T&Cs, failure to attend the course constitutes late cancellation and payment will still be forfeit.

Contact Us

If you would like further details about any of the courses which we offer or to discuss any bespoke training requirements, please call 01509 214 999, send us an email or complete our free enquiry form.