The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to compliance officers (COLPs and COFAs) and breach reporting. For more detailed guidance, see Practice Notes: Compliance Officers 2019—law firms and Breach reporting 2019—law firms.
The table below reflects requirements applying to compliance officers. It does not deal with detailed SRA requirements in relation to approval of compliance officers or exceptions to the requirement to have compliance officers.
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