This 3 hour course will be delivered by Tracey Calvert, PowerPoint supported, with face-to-face training using practical examples to encourage an interactive discussion, to cover the following key training deliverables.
- Setting the scene – the role of the SRA in 2015
- Meaning of outcomes-focused, risk-based and entity-based regulation
- The role of the compliance officers in the firm and in respect of the SRA
- The SRA Handbook – key features in the Principles, the SRA Code and the SRA Accounts Rules
- Common issues/scenarios and discussions about the correct response
- What’s on the regulatory agenda in 2015 – the hot topics
Objective: To assist with the law firm’s compliance requirements and to demonstrate to both the Solicitors Regulation Authority and ILEX Professional Services that members of the firm understand the importance of regulatory compliance matters. (more…)