COFAs Toolkit: Compliance Officer for Financial Administration 2nd Edition

Name: COFAs Toolkit: Compliance Officer for Financial Administration 2nd Edition
Brand: Law Society Publishing
SKU: 9781784460549
Price: 1071.85 HKD
Availability: InStock
Author: Jeremy Black; Tom Vose
ISBN: 9781784460549

Edited by Jeremy Black · Tom Vose

Law Society Publishing August 2020

Specifications

ISBN-13: 9781784460549
Publisher: Law Society Publishing
Publication: August 2020
Format: Paperback
Jurisdiction: U.K. ? Countri(es) for reference only

Details

Every law firm is required to have a Compliance Officer for Finance and Administration (COFA). They have two key responsibilities:

to ensure compliance with the SRA Accounts Rules throughout the firm, and
to ensure a prompt report is made to the SRA of any serious breach of the Accounts Rules

This toolkit will help COFAs and anyone working in the accounts department of a law firm to implement and oversee systems to ensure compliance with the SRA Accounts Rules.

The book and accompanying CD-ROM include:

procedural checklists
recording and monitoring forms
draft letters to the SRA, and
guidance on matter file reviews and common breaches of the Accounts Rules

This second edition has been updated and expanded to reflect the implementation of SRA Standards and Regulations in November 2019 and includes additional guidance on the new Accounts Rules and a copy of the Rules.

1. Overview of the principal regulatory requirements relevant to COFAs

2. Becoming a COFA

3. Responsibilities of the COFA

4. Further guidance

Appendices

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