Essential Knowledge – About Your Regulator

Essential Knowledge – About Your Regulator

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Course Overview

This course will provide viewers with a practical discussion of what the SRA is, the significance of the SRA and what the SRA expects. Consideration will be given to how SRA expectations may differ to that of your employer and the consequences of non-compliance.

Using interesting anecdotes, compliance specialist Tracey Calvert will demonstrate why regulation matters. The following topics will also be considered:

·SRA Toolkit

·SRA Principles

·SRA Code of Conduct

·Compliance with SRA Accounts Rules & Common Accounts Rules Issues

·Compliance checklist

What are the requirements?

  • • Watch 30 minute recorded webinar including reference notes • This course provides 0.5 CPD point

Learning Outcomes

  • On completion of the course you will: • Have a greater understanding of the SRA as a regulator, including the SRA Handbook, and how this overlaps with financial services and AML. • Be familiar with SRA Principles and the SRA Code of Conduct and how these are applied in practice • Have considered common accounts rules issues which affect law firms and how to address these issues effectively

What is the target audience?

  • Suitable for trainee and newly qualified solicitors. This course may also be of interest to support staff.


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

recorded webinars

  • Webinar


  • Slides
    20 Page