| The Role of the COLP and COFA in the relationship between the SRA and the Firm |
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Thursday, 23 February 2012, 10:00 - 13:00
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The Role of the COLP and COFA in the relationship between the SRA and the Firm
Thursday 23rd February 2012 from 10.00 am until 1.00 pm (3 hours CPD)
Presented by Peter Warner. Warner Consulting
Members £90 plus VAT (£108). Non Members £125 plus VAT (£150)
The new rules demand that every firm shall appoint compliance officers for Legal Practice and Finance and Administration. Their principal function is to ensure compliance by the firm with the requirements of SARs and other Regulatory obligations. This half day course examines the obligations of the firm and seeks to identify and explain the methods by which both COLP and COFA can accommodate the duties owed to the SRA in contrast to their responsibilities to the firm and how conflict may be avoided.
Aimed at Senior and Managing Partners and Risk AND Compliance Managers this course will address all the key issues and provide practical advice and guidance on both roles.
Background to OFR. Firm based Regulation. SRA quick guide to COLP and COFA
Application of Authorisation rules. Practice framework Rule 18.
The impact of Chapters 7 and 10. Monitoring and Information requirements. The range of duties
Liability and Dilemmas Other compliance issues
LIMITED TO 20 PLACES.
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Location : Nottinghamshire Law Society, Suite 2A The Hub, 40 Friar Lane Nottingham NG16DQ
Contact : John Lymbury, Tel 0115 9505324 DX10017 Nottingham |
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