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Vol 21 No 9 Sept/Oct 2016

Book of the Month

Cover of Goode on Commercial Law

Goode on Commercial Law

Edited by: Ewan McKendrick
Price: £170.00

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Compliance Officer for Legal Practice: COLPs Toolkit 2nd ed

ISBN13: 9781784460457
Previous Edition ISBN: 9781907698460
Published: September 2016
Publisher: Law Society Publishing
Country of Publication: UK
Format: Paperback & CD-ROM
Price: £59.95

In stock.

Since the introduction of COLPs, the SRA has simplified some of the procedures for the approval, declaration and notification of changes to the role. These changes, as well as additional new templates, are included in this updated second edition, for both new and existing COLPs.

This essential toolkit contains a mixture of draft policies, procedural checklists and other instruments demonstrating due diligence to assist practitioners.

This fully updated edition will include a new chapter, Additional Tools for COLPs, as well as several new and revised templates, including:-

  • A revised risk register
  • A COLP nomination form
  • A checklist for new COLPs
  • A routine compliance activities checklist
  • A key staff monthly feedback report
  • A checklist of action in a suspected breach
  • Data protection and loss policies
  • Audit and file review forms.
This new edition will help all those responsible for ensuring processes are in place to enable the firm, its managers and employees, and anyone who has any interest in the firm to comply with the SRA Handbook.

Professional Conduct and Ethics
1. Role of the COLP;
2. Becoming a COLP;
3. Ensuring compliance
4. Reporting to the SRA;
5. Additional Tools for COLPs
6. Appendices.

Series: Risk and Compliance Service

Complaints Handling Toolkit ISBN 9781907698675
Published October 2014
Law Society Publishing
Equality and Diversity Toolkit ISBN 9781907698736
Published April 2013
Law Society Publishing
Anti-Money Laundering Toolkit ISBN 9781907698583
Published November 2012
Law Society Publishing
Anti-Bribery Toolkit
Amy BellAnti Bribery
ISBN 9781907698347
Published April 2012
Law Society Publishing