Investigating & Reporting Misconduct with Confidence - A Practical Guide for COLPs

Introduction

The role of the Compliance Officer for Legal Practice (COLP) may necessitate responding to internal reports of actual or potential regulatory breaches.

In recent years, the Solicitors Regulation Authority has issued detailed guidance on internal investigations, setting clearer expectations for how firms should investigate, document and - where necessary - self-report concerns.

During this live and interactive virtual classroom session, compliance solicitor Paul Bennett will provide practical guidance on conducting effective investigations, understanding when and how to report matters to the SRA and navigating the regulatory consequences that may follow.

What You Will Learn

This live and interactive session will equip COLPs and compliance professionals with the knowledge and confidence to handle investigations and reporting obligations effectively. Key topics include:

• Creating a culture of openness
• Encouraging internal reporting
• Understanding and applying the SRA’s guidance on speaking up and investigations
• Investigating an internal reported breach
• Initial assessment and scoping the investigation
• Gathering evidence and maintaining independence and fairness
• Record-keeping and audit trails
• Who should conduct the investigation
• Internal vs external investigators
• Managing conflicts of interest
• Dealing with situations where the reporter is unwilling to participate
• Reporting obligations to the SRA
• Understanding the regulatory test for reporting
• Distinguishing between issues that must be reported and those that do not
• The importance of remedial action
• How early and effective remediation can influence regulatory outcomes
• Demonstrating insight, accountability and compliance
• Structuring an effective report to the SRA
• What information to include
• Tone, clarity and supporting evidence
• After the report is made
• What to expect from the SRA
• Possible next steps and regulatory responses
• Trends in SRA responses to self-reporting
• How the SRA’s approach has evolved
• Practical lessons from recent enforcement and supervisory trends

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.