COLPs Toolkit

2016 | Law

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 registerCOLP nomination formchecklist for new COLPsroutine compliance activities checklistkey staff monthly feedback reportchecklist of action in a suspected breachdata protection and loss policiesaudit 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.

Michelle Garlick (Author)