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Vol 22 No 11 Nov/Dec 2017

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
Compliance Officer for Legal Practice: COLPs Toolkit 2nd ed isbn 9781784460457

Compliance Officer for Legal Practice: COLPs Toolkit

ISBN13: 9781907698460
New Edition ISBN: 9781784460457
Published: June 2012
Publisher: Law Society Publishing
Country of Publication: UK
Format: Paperback
Price: Out of print

As introduced by the Legal Services Act 2007, from October 2012 every law firm is required to have an authorised Compliance Officer for Legal Practice (COLP).

The COLP is responsible for ensuring a firm has systems and controls in place to enable the firm, its managers and employees, to comply with the SRA Handbook.

The COLPs Toolkit will help practitioners to prepare for and administer their duties as COLPs. The book and accompanying CD-ROM contain draft policies, procedural checklists, including:

  • Governance policies
  • Recording and nomination forms
  • Compliance checklist
  • Draft letters to the SRA.

Professional Conduct and Ethics
1. Overview of the rules and how they apply
2. Becoming a COLP
3. Ensuring compliance
4. Reporting to the SRA.
Appendices (contained on CD-ROM)
Rule 8 of the Authorisation Rules
Draft job description
Authority of individual partners/terms of appointment/consent
Individual partner authority
Part 4 of the Authorisation Rules
Suitability test
COLP Nomination Form
Temporary Emergency Approval notification letter to the SRA
Ensuring compliance
Compliance plan
Risk register
Example risk register
Compliance gap analysis
Monthly compliance monitoring form
Record of meetings with complaints partner
Reporting to the SRA
Internal breach report form
Record of breaches
Draft letter to the SRA reporting material breach
Breach review form
Record of reports submitted to SRA
Annual report to the SRA
Whistleblowing policy.