Free Publicity Materials
1 September 2016
Law Society Publishing
Paperback and CD-ROM
246 x 172 mm
The Risk and Compliance Service, 2nd edition
Since the introduction of compliance officers for legal practice (COLPs), the SRA has simplified some of the procedures for the approval, declaration and notification of changes to the role of COLP. These changes, as well as additional new templates, are included in this updated second edition, an invaluable resource for both new and existing COLPs.
This essential toolkit contains draft policies, procedural checklists and other instruments to assist practitioners in demonstrating due diligence and remaining fully compliant with the SRA Handbook.
This fully updated edition includes a new chapter, 'Additional COLP tools', as well as several new and revised templates, including:
- revised risk register
- COLP nomination form
- checklist for new COLPs
- routine compliance activities checklist
- key staff monthly feedback report
- checklist of action in a suspected breach
- data protection and loss policies
- audit and file review forms.
This new edition will help all those responsible for a firm's regulatory compliance to ensure the correct processes are in place.
1. Role of the COLP;
2. Becoming a COLP;
3. Ensuring compliance;
4. Reporting to the SRA;
5. Additional Tools for COLPs;
About the Author
Michelle Garlick is a partner at Weightmans LLP where she heads up the team advising law firms on regulatory compliance, claims, complaints handling, disciplinary representation and risk management issues.