COLP and COFA: Compliance in Practice, 3rd Edition

Name: COLP and COFA: Compliance in Practice, 3rd Edition
Brand: Globe Law and Business
SKU: 9781787429192
Price: 1878.89 HKD
Availability: InStock
Author: Tracey Calvert
ISBN: 9781787429192

By Tracey Calvert

Globe Law and Business December 2022

Specifications

ISBN-13: 9781787429192
Publisher: Globe Law and Business
Publication: December 2022
Format: Paperback , 200 pages
Jurisdiction: International ? Countri(es) for reference only

Details

It is a condition of authorisation that all SRA-authorised law firms must have a compliance officer for legal practice (COLP) and a compliance officer for finance and administration (COFA), and that these individuals must comply with regulatory duties imposed on them personally.

Now in its third edition, COLP and COFA: Compliance in Practice provides the role-holders, and anyone concerned with supporting the role-holders, with essential information about regulatory and ethical standards and compliance procedures that will support the achievement of these standards and facilitate a good working relationship with the SRA.

Written by Tracey Calvert, a former employee of both the Law Society and the SRA, this edition has been updated to include the latest requirements as evidenced by the SRA Standards and Regulations, and includes lessons learned from supervisory and enforcement action.

Executive summary

About the authors

Chapter 1: The requirement to have a COLP and COFA

Chapter 2: Appointing your COLP and COFA

Chapter 3: Working with the SRA – understanding entity and risk-based regulation

Chapter 4: The COLP’s essential knowledge

Chapter 5: The COFA’s essential knowledge

Chapter 6: Identifying, recording and reporting non-compliance

Chapter 7: Compliance officers and international issues

Chapter 8: Behaviours outside of practice

Chapter 9: Personal perspectives

HKD 1,878.89 −3%