COLP and COFA

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Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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9th Nov
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent COLP and COFA content

Practice notes
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
Q&As
The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services industry in the UK, it is operationally independent...
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15th Feb
Precedents
1Compliance officer for legal practice (COLP) detailsName of firm[Insert firm name]Name of COLP[Insert name]Reports to[Insert name]Full time/part...
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14th Feb
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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14th Feb
Precedents
1General informationDate of this report[insert date]Date of last report[insert date]Name of person submitting report[insert name]2Action points...
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14th Feb
Precedents
1Compliance officer for finance and administration (COFA) detailsName of firm[Insert firm name]Name of COFA[Insert name]Reports to[Insert name]Full...
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14th Feb
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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14th Feb
Precedents
1General informationDate of this report[insert date]Date of last report[insert date]Name of person submitting report[insert name]2Action points...
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14th Feb
Practice notes
This Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the Compliance Officer for Legal Practice...
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7th Dec
Practice notes
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...
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7th Dec
Q&As
All firms must have a compliance officer for legal practice (COLP), authorised by the SRA. This Q&A explains whether your COLP has to be full-time or...
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7th Dec
Practice notes
This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be...
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7th Dec
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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7th Dec
Practice notes
This Practice Note discusses the approval process a prospective compliance officer for legal practice (COLP) must go through to satisfy the SRA's...
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7th Dec
Practice notes
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to compliance officers (COLPs and COFAs) and breach...
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7th Dec
Precedents
A: General informationDate of monitoring review[insert date of monitoring review]Person conducting monitoring reviewB: Consolidated dataCriteriaOver...
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7th Dec
Precedents
A: General informationDate of monitoring reviewPerson conducting monitoring reviewB: Consolidated dataCriteriaOver the last 12 monthsNumber of...
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7th Dec
Precedents
A: IntroductionDate of monitoring reviewPerson conducting monitoring reviewB: Consolidated dataCriteriaIn the last [insert period, eg month]Over the...
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7th Dec
Precedents
A: General informationDate of monitoring review[insert date of monitoring review]Person conducting monitoring review[insert name]B: Consolidated...
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7th Dec
Precedents
It is not realistic to monitor every area of compliance every month. We take a risk-based approach by monitoring different areas of compliance each...
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7th Dec

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