The SRA Handbook Compliance in Action

New SRA Handbook

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Course Overview

As you will be aware, the SRA has operates an outcomes-focused and risk-based approach to regulation with the intention that the legal community deliver services in a way that best suits the client’s needs.

Originally implemented in 2011, the new SRA Handbook now consolidates the regulatory requirements that apply to traditional legal practices and new entrants to the legal services market including alternative business structures (ABS). However with growing concerns over law firm stability it’s not just the regulators you need to be concerned with; Insurers are more interested in law firm compliance than ever.

Taking a practical approach to law firm compliance under the new SRA Handbook, Brian Rogers of Riliance - the UK's leading provider of risk and compliance software - discusses the importance of ensuring that your firm is up to speed with SRA regulation and how best to demonstrate your firm’s compliance.

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:
- SRA Risk Outlook – Current risks, emerging risks & potential risks
- The Regulatory Regime – SRA Code of Conduct, Outcomes Focussed Regulation & SRA Accounts Rules
- Regulatory & Compliance Obligations - SRA Principle 8, SRA Code of Conduct (chapter 7 & 10) & SRA Authorisation (Rule 8)
- Non-compliance – SRA Authorisation Rules (Rule 17 & 22) & SRA Disciplinary Procedure Rules (Rule 2 & 3)
- What is COLP/COFA?
- COLP/COFA – key duties
- The SRA Handbook – What it covers, who it covers and when it applies
- SRA Handbook – The Core principles:
- Breach Case Studies
- Are you on the SRA’s radar?
- SRA warnings & reassurances

What is the target audience?

Practitioners of all levels

Keywords

SRA Handbook

New SRA Handbook

Collections

Compliance Staff

About Instructor - Brian Rogers

Brian Rogers is the Director of Regulation & Compliance Services at Riliance Software Ltd. Until recently, Brian was a senior executive within the legal profession, with over 20 years’ experience dealing with risk and compliance issues and general business management. Brian was also Chairman of the Regulatory Affairs Committee of Manchester Law Society from 2010-12.