Regulatory and Compliance Training & Consultancy

Surviving an SRA Inspection Training

Legal Finance Professionals provide the following SRA accredited CPD How to Survive an Inspection Visit training course.

• How to Survive an SRA Inspection

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

READ RICHARD LANE’S ARTICLE, ‘UNDER THE MICROSCOPE’, WHICH WAS PUBLISHED IN THE NOVEMBER 2013 EDITION OF THE LAW SOCIETY‘S LAW MANAGEMENT SECTION MAGAZINE, ’MANAGING FOR SUCCESS'.

How to Survive an SRA Inspection

3 CPD Hours

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.