Law Firm Regulation, Risk & Compliance - An A to Z Guide Live at Your Desk
The regulatory landscape provides opportunities for both traditional and new forms of practice to provide legal services, and in turn, the obligations on firms appear to be daunting and time-consuming for the busy practitioner.
Delivered by law firm compliance expert Peter Warner, this comprehensive virtual classroom seminar will provide you with all the up-to-date information and guidance needed to ensure that your firm meets its regulatory and other compliance obligations.
Spread over 2 days and aimed at senior and managing partners, compliance offices and practice directors, this workshop will equip you and your firm with the necessary tools and techniques to tackle the key areas of interest to the SRA, Legal Ombudsman, professional indemnity insurers and other stakeholders.
What You Will LearnThis live and interactive session will cover the following:
- Accounts Rules, Annual Information Report
- Business Management, Business Continuity
- Client Care, Codes of Conduct, Conflicts, Compliance Officers, Compliance Plan, Confidentiality, Cybersecurity
- Data Protection
- Equality, E-mail Policy, End of Matter
- Financial Management, Firm-based Regulation, File Reviews, File Management
- Indemnity Insurance, Induction, Insurance Distribution
- Judgement, Jack of all Trades, Joint Instructions
- Key Dates, Know How
- Legal Ombudsman, Limitations, Lexcel
- Material Breaches, Money Laundering Regulations, Mental Block Files
- Notifications, Non-Clients, New Code(s)
- OFR, Outsourcing, Outside Interests,
- Principles, Publicity, Performance Management, Property
- Qualified to Supervise, Quality Management
- Regulator, Risk Assessments, Referrals, Recruitment, Remote Working
- Serious Breaches, Supervision, SRA Supervision and Enforcement, Separate Business
- Terms of Business, Training, Trainees
- Undertakings, Unusual Instructions
- Vetting Procedures
- Workloads, WIP Control, Work Types
- X Certificate Clients, X Reference Files
- You and Your Business/Regulator/Client
- Zealous regulator, Zero Tolerance
Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.
9:30am - 2:30pm
9:30am - 2:30pm