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COLP and COFA: Compliance in Practice, 3rd Edition

COLP and COFA: Compliance in Practice, 3rd Edition

COLP and COFA: Compliance in Practice, 3rd Edition

Author: Tracey Calvert
Publisher: Globe Law and Business
ISBN: 9781787429192

Previous Edition ISBN: 9781783580514
Published In: December 2022
Format: Paperback , 200 pages
Jurisdiction: International ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 1,937.00

HKD 1,878.89 Save HKD 58.11 (3%)

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Description
Contents

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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

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