£131

COURSE: The Role of the Compliance Officer for Finance and Administration

Actions and Detail Panel

£131

Event Information

Share this event

Date and Time

Location

Location

Mandolay Hotel

36-40 London Road

Guildford

GU1 2AE

United Kingdom

View Map

Refund Policy

Refund Policy

Contact the organiser to request a refund.

Eventbrite's fee is nonrefundable.

Event description
A Surrey Law Society Training Course for Compliance Officers by Peter Warner

About this Event

This course examines in detail the duties and responsibilities of the Compliance Officer for Finance and Administration (COFA) and is aimed at Senior and Managing Partners, Finance Directors and Managers together with Risk and Compliance Managers that are involved with SRA compliance.

This course will address the key issues and aims to give practical advice and guidance on the role and responsibilities of the COFA including:

  • Background to the role of the COFA
  • The SRA Standards and Regulations
  • The SRA guide to the COFA responsibilities, record keeping and reporting concerns
  • Review of SRA Guidance on compliance
  • Codes of Conduct – for Firms and Individuals
  • Principles
  • Business Management – Compliance and Business systems
  • Cooperation and accountability - You and Your Regulator
  • Developing Compliance plans
  • Assessing risk and preparing a Risk Register
  • SRA Accounts Rules – 25.11.19
  • Potential Liability for the COFA
  • Summary and questions

-----------------------------------

Peter Warner

Owner, Warner Consulting

Peter Warner, MBA, Solicitor and Consultant. Peter regularly advises the country’s top firms on Risk Management and Quality Standards. Between April and October 2010 Peter was involved in the Relationship Management pilot project with the SRA, part of their move towards Outcomes Focused Regulation.

He has extensive experience in dealing possession claims on behalf of executors and has been a speaker for 8 years, and he has extensive experience in dealing with Contentious Probate, Inheritance Act claims and possession claims on behalf of executors.

Share with friends

Date and Time

Location

Mandolay Hotel

36-40 London Road

Guildford

GU1 2AE

United Kingdom

View Map

Refund Policy

Contact the organiser to request a refund.

Eventbrite's fee is nonrefundable.

Save This Event

Event Saved