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The Essential COLP Update

Liverpool Law Society
Event organized by Liverpool Law Society

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The world of compliance is constantly changing and as it does the role of the COLP changes with it. The past year has brought many changes including the new Money Laundering Regulations and Criminal Finance Act and 2018 will see the introduction of the new General Data Protection Regulations (GDPR) and changes in the SRA Handbook in relation to the new Codes of Conduct and the SRA Accounts Rules.

If you are the nominated COLP or deputy COLP this course is for you.

This half day course will cover many areas including:

þ Who is the COLP
þ What do they do and why does the firm need this compliance officer
þ The roles and responsibilities of the COLP
þ What policies, procedures and checklists must the COLP have in place
þ Introducing compliance checklists and the introduction of self certification
þ File reviews – who should conduct them, how often and what to look for
þ The collating of information for the reporting of breaches including an incident report form
þ Self reporting and the reporting of material breaches to the SRA
þ Whistleblowing
þ Training of all staff in relation to their role assisting the COLP
þ Complaints handling with an update on the Legal Ombudsman (LeO)
þ An update from the SRA Risk Outlook 2017/18 including an overview of the eight priority risks
þ An overview of the changes in legislation in the next year and how they will impact the role of the COLP