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Surviving an SRA Inspection

Course: How to Survive an SRA Inspection
Cost: £195 + vat
CPD: 3 hours
Date:
Code: HLN191120
Location:
Time:
Availability: Places


Presented by Richard Lane, a former Investigation Manger with the Solicitors Regulation Authority, this course examines the factors that lead to the authorisation of a visit by the SRA's Forensic Investigation Unit and what to expect both before, during and after the inspection visit.

The following topics will be covered -

Introduction

  • Monitoring and enforcement by the SRA - An overview
  • The role of the firm's COLP & COFA

Accountants Reports

  • The consequences of a qualified Accountant's Report
  • Minimising the chances of a visit by Forensic Investigations

SRA Accounts Rules

  • Common compliance problems

Forensic Investigations

  • What leads to a Forensic Investigation visit?
  • Pre-inspection considerations
  • What to expect during an investigation visit
  • Post inspection process

Possible Disciplinary Outcomes

  • Internal SRA sanctions
  • Referral to the Solicitors Disciplinary Tribunal

Open Forum

  • A chance to ask questions and seek advice on specific issues

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


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