Financial Services and Law Firms

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Course Overview

Although you and your firm may offer a variety of financial services to your clients, do you understand and more importantly are you complying with Financial Conduct Authority guidelines?

The financial service industry is subject to stringent regulation by the Financial Conduct Authority (FCA). If your firm specialises in conveyancing, personal injury, litigation or private client, it is likely that you offer financial services to your clients, however it is highly unlikely that you are directly regulated or authorised by the FCA to do so.

In order to continue to provide financial services without risk of breaching FCA legislation, it is vital that you understand the Financial Services and Markets Act 2000 and related secondary legislation, as it applies to your business.

Aimed at COLP's and anyone with compliance and risk management responsibilities and solicitors who engage in financial services activities, this webinar will provide you with an understanding of SRA requirements, prohibitions and restrictions.

Experienced lecturer and former SRA and Law Society advisor Tracey Calvert will discuss the SRA Handbook requirements and why financial services compliance must form part of your firm’s risk management and compliance strategy.

What are the requirements?

  • Watch 1 hour recorded webinar
  • This course provides one CPD point.

Learning Outcomes

  • On completion of this course you will have a greater understanding of the following:

    • The importance of compliance with financial services legislation
    • Financial services activities
    • The roles of the Financial Conduct Authority and the SRA
    • The SRA Handbook requirements
    • Financial services and the firm’s compliance regime

What is the target audience?

  • Practitioners


About Instructor - Tracey Calvert

Tracey is a lawyer and had many years experience of working for the Law Society and the SRA. She was a senior ethics adviser and, in her last role with the SRA, part of the ethics policy team which drafted the SRA Handbook. Tracey is now the director/owner of Oakalls Consultancy Limited and provides regulatory consultancy services. She has a varied portfolio of clients and interests and also writes regularly on regulatory topics. She has written 6 books (including “Ethics in law firms: a practical guide” and “Conflicts and Confidentiality in Law Firms” published by the Ark Group), is a contributor to Cordery on Legal Services, writes regular columns for the ILEX Journal and the Solicitors Journal and sits on the Editorial Board of the Law Society’s Legal Compliance Bulletin.

Course Curriculum

Financial Services and Law Firms

  • Webinar- Financial Services and Law Firms
  • Slides- Financial Services And Law Firms
    30 Page