The Liver Building

The Essential COLP Update


Speaker: Jo Morris

Date: Friday 25th October, 2019

Time: 10:00 - 12:45

Areas of Law: Management

Competencies: A

Liverpool Law Society,
2nd Floor Helix,
Edmund Street,
L3 9NY

Course Code: S4220


The world of compliance is constantly changing and as it does the role of the COLP changes with it. The new SRA Standards and Regulations come into force on 25th November 2019 and will see us making many changes in our firms. Are you ready for the new regime? What new systems, policies and procedures are you going to put in place? We will also be faced with changes to other topics in the next year including the 5MLD being implemented into the Money Laundering Regulations.  What changes will we have to make for this?

If you are the nominated COLP or deputy COLP this course is for you.

This half day course will cover many areas including:

  • Who is the COLP
  • What do they do and why does the firm need this compliance officer
  • The roles and responsibilities of the COLP
  • What policies, procedures and checklists must the COLP have in place
  • Introducing compliance checklists and the introduction of self certification
  • File reviews – who should conduct them, how often and what to look for
  • The collating of information for the reporting of breaches including an incident report form
  • Self reporting and the reporting of material breaches to the SRA
  • Whistleblowing
  • Training of all staff in relation to their role assisting the COLP
  • Complaints handling with an update on the Legal Ombudsman (LeO)
  • An update from the SRA Risk Outlook 2018/19 including an overview of the eight priority risks
  • An overview of the changes in legislation in the next year and how they will impact the role of the COLP

Speaker Biographies

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.


Member £105
Non-member £150
Corporate Member Training Offer 1 Credit
Training Season Ticket Free
Note: 20% VAT added at checkout