The Essential COLP Update

Event Details

Course Code: S3873
Speaker: Jo Morris
Specialisations: Management, Support Staff,
Venue: Liverpool Law Society, 2nd Floor, Helix, Edmund Street, Liverpool, L3 9NY
Date: Wednesday, 6 September, 2017
Time: 09:30 - 12:45

Members Price: £105
Non Members Price: £150

Training Season Ticket: Free

Note: 20% Vat added at checkout

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Event Description

The world of compliance is constantly changing and as it does the role of the COLP changes with it. The next year will bring many changes – new Money Laundering Regulations, the new General Data Protection Regulations (GDPR) and changes in the SRA Handbook in relation to the Code of Conduct. 
Are you the nominated COLP or deputy COLP?  How are you managing the role?  Have you got everything in place and running smoothly?  Do you still need some assistance getting everything on course? Will you need to take on even more responsibilities with the changes?
If so, this course is for you.This course will cover many areas including:
þ Who is the COLP
þ What do they do and why does the firm need this compliance officer
þ The roles and responsibilities of the COLP
þ What policies, procedures and checklists must the COLP have in place
þ Introducing compliance checklists and the introduction of self certification
þ File reviews – who should conduct them, how often and what to look for
þ The collating of information for the reporting of breaches including an incident report form
þ Self reporting and the reporting of material breaches to the SRA
þ Whistleblowing
þ Training of all staff in relation to their role assisting the COLP
þ An update on the Legal Ombudsman (LeO)
þ An update from the SRA Risk Outlook 2016/17
þ An overview of the changes in legislation in the next year and how they will impact the role of the COLP

Joanna Morris has over thirty years’ experience of working in solicitors practices from being a legal cashier to a practice manager.  Joanna is a consultant having previously worked in a top 40 law firm as a Risk and Regulatory Compliance Training Manager.  She has also worked as the Finance Compliance Manager for the first Alternative Business Structure (ABS) in Wales.  She is a Diploma member of the Institute for Legal Finance and Management (ILFM).  Joanna is a qualified NVQ assessor and holds a Certificate in Education for Teaching in the Lifelong Learning Sector. Jo was highly commended in June 2011 by the Legal Education and Training Group (LETG) in the category Best Programme for Lawyers for Solicitors Accounts Rules training for Hill Dickinson LLP.  She was also shortlisted in the category of Compliance Trainer of the Year for the Women in Compliance Awards 2014. 

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