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COFAs Toolkit

COFAs Toolkit The Law Society's Risk and Compliance Service

Author: Jeremy Black
Publisher: Law Society Publishing
ISBN: 9781907698477
Published In: June 2012
Format: Paperback + CD-ROM , 96 pages
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents
Author

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As instructed by the Legal Services Act 2007, by January 2013 every firm will have to appoint a Compliance Officer for Financial Administration (COFA). The COFA has a more focused role than a COLP and has two key responsibilities:

to ensure compliance with the SRA's accounts rules
to record all failures to comply and to report any such failures to the SRA as soon as is reasonably practicable.

This toolkit will include practical assistance to assist the COFA to implement and overseesystems for compliance in relation to the Accounts Rules and will include:

payment authorisation forms
draft undertakings
reporting and monitoring forms
development and training policy
draft letters and reports.

1. Introduction;
2. Principal regulatory requirements of COFAs;
3. Becoming a COFA;
4. Responsibilities of the COFA;
5. Reporting requirements;
6. Further guidance. Appendices (contained on CD-ROM): Overall compliance checklist forCOFAs;
Terms of appointment to the role of COFA;
Temporary emergency notification letter to the SRA;
SRA guidelines- accounting procedures and systems checklist;
Guidance on matter file reviews;
Matter file review template;
Proformatemplates for the recording of breaches internally;
Template letter for reporting material breaches to the SRA;
Common areas of breaches of the Accounts Rules;
Internal policy for dealing with mixed payments;
Framework formonitoring, reviewing and managing risks of non-compliance;
Examples of key general controls expected to be in placein law firms.

Jeremy Black is a Partner in Deloitte's professional practices group.

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