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COLP Training

Legal Finance Professionals provides the following SRA accredited CPD COLP Training course.

  • COLP - The Role and Responsibilities Explained

This course is designed to meet the needs of partners, principals, directors, managers, COLP‘s, COFA’s, compliance/risk officers and practice managers.

COLP - The Role and Responsibilities Explained

5 CPD Hours

This comprehensive and practical interactive one day course is designed to tackle all the responsibilities attached to the vital role of the Compliance Officer for Legal Practice (COLP).This key position is critical in ensuring that the firm meets its regulatory obligations under the SRA Handbook.

How can the COLP best tackle their duties?

  • What are the risks and responsibilities?
  • What does the COLP have to do in practice?
  • Can the COLP face personal liability?

Aimed at COLPs, Partners, Risk and Compliance Managers and those involved in a compliance role this course addresses all aspects of the specific obligations attached to the COLP function.

It includes case studies, exercises and guidance on the role and responsibilities of the COLP and will cover the following:

  • The SRA approach under Firm Based Regulation
  • Regulatory obligations - Authorisation Rule 8
  • Key chapters in the Code of Conduct 2011
  • Chapter 1 - Client Care
  • Chapter 7 - Business Management
  • Chapter 10 - You and Your Regulator
  • Developing Compliance plans and assessing risk
  • Training and the SRA Competency Statement
  • Dealing with undertakings
  • Anti-Money Laundering
  • Data security and protection
  • File reviews
  • Conflicts and confidentiality
  • Equality and Diversity
  • Outsourcing
  • Business continuity
  • Referrals and introductions
  • The responsibilities of the COLP
  • Monitoring and recording breaches
  • Notifying the SRA and corrective action
  • Working with the COFA
  • Whistle-Blowing
  • Scenarios and dilemmas
  • Current SRA concerns
  • SRA consultations
  • Summary

This course is presented by Peter Warner, Solicitor, MBA, an experienced trainer and adviser on regulatory and compliance issues. Peter worked with the SRA on a pilot project dealing with the introduction of OFR and now shares many of his insights and experiences gained through acting as a consultant compliance officer for many leading firms.


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