The SRA Handbook Compliance in Action

New SRA Handbook

  • 24 ratings, 536 users enrolled

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:
      • Code of Conduct
      • Client Care – Outcomes, indicative behaviours & non-compliance
      • SRA Accounts Rules – Outcomes
      • Non-compliance – Recent SDT cases
    • Breach Case Studies
    • Are you on the SRA’s radar?
    • SRA warnings & reassurances


What is the target audience?

  • Practitioners of all levels


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.

Course Curriculum

recorded webinars

  • Webinar


  • Slides
    33 Page


  • Price
  • £ 100