Serious Breach Reporting - What the SRA Expects

Introduction

All SRA-regulated firms and individuals are required to report serious breaches to the SRA in line with their Standards and Regulations and Enforcement Strategy, but do you fully understand your reporting obligations?

During this practical virtual classroom seminar, Rebecca Atkinson, Director of Risk and Compliance at Howard Kennedy LLP, will take you through real life scenarios including SDT cases and regulatory settlement agreements published by the SRA, and will examine what must be reported and when.

Consideration will also be given to when you should report behaviour that occurred outside of work and the impact of #metoo and the rise in sexual misconduct cases.

What You Will Learn

This live and interactive session will cover the following:

• What are the reporting obligations under the SRA Codes of Conduct?
• How do they differ from the prior SRA Code of Conduct and why the change?
• What does 'serious breach' mean? Exploring the SRA's Enforcement Strategy
• Should you investigate first and report later?
• Interactive scenarios to discuss whether to report and when
• How to structure your report
• Resources that can help

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.