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Publications


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COLPs Toolkit


£59.95


Professional conduct


21 June 2012


Law Society Publishing


9781907698460


Paperback + CD
72 pages

COLPs Toolkit
The Law Society's Risk and Compliance Service

Michelle Garlick

Overview

From January 2013, a requirement of the Legal Services Act 2007 means that every law firm is required to have an authorised Compliance Officer for Legal Practice (COLP).

The COLP is responsible for ensuring a firm has systems and controls in place to enable the firm, its managers and employees, to comply with the SRA Handbook.

The COLPs Toolkit will help practitioners to prepare for and administer their duties as COLPs. The book and accompanying CD-ROM contain draft policies, procedural checklists, including:

  • Governance policies
  • Recording and nomination forms
  • Compliance checklist
  • Draft letters to the SRA.

Contents

1. Overview of the rules and how they apply;
2. Becoming a COLP;
3. Ensuring compliance;
4. Reporting to the SRA.
Appendices (contained on CD-ROM): Rule 8 of the Authorisation Rules;
Draft job description;
Authority of individualpartners/terms of appointment/consent;
Individual partner authority;
Part 4 of the Authorisation Rules;
Suitability test;
COLP Nomination Form;
Temporary Emergency Approval notification letter to the SRA;
Ensuring compliance;
Complianceplan;
Risk register;
Example risk register;
Compliance gap analysis;
Monthly compliance monitoring form;
Record ofmeetings with complaints partner;
Reporting to the SRA;
Internal breach report form;
Record of breaches;
Draft letterto the SRA reporting material breach;
Breach review form;
Record of reports submitted to SRA;
Annual report to theSRA;
Whistleblowing policy.