COLP and COFA

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Read More >
19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Read More >
19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
Read More >
Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
Read More >
19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
Read More >
19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
Read More >
Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
Read More >
19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Read More >
Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
Read More >
19th May
Practice notes
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
Read More >
19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Read More >
19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
Read More >
19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
Read More >
19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
Read More >
19th May

Most recent COLP and COFA content

Q&As
Can we have a COLP who works part-time?All firms must have a compliance officer for legal practice (COLP), authorised by the SRA. This Q&A explains...
Read More >
31st Jul
Q&As
What is the role of the FCA compliance officer?The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services...
Read More >
31st Jul
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Read More >
31st Jul
Practice notes
Coronavirus (COVID-19)—guidance for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note...
Read More >
31st Jul
Practice notes
Compliance officer for finance and administration—COFA—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval...
Read More >
31st Jul
Practice notes
Compliance officer for legal practice (COLP)—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval process a...
Read More >
31st Jul
Practice notes
Compliance Officers 2019—law firmsThis Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the...
Read More >
31st Jul
Practice notes
Compliance officers and breach reporting—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s 2011...
Read More >
31st Jul
Practice notes
Breach reporting 2019—law firmsThis Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019)...
Read More >
31st Jul
Practice notes
Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...
Read More >
31st Jul
Precedents
SRA Accounts Rules breach register—COFA—law firmsPlease click for an Excel version of this register.This Precedent SRA Accounts Rules breach register...
Read More >
31st Jul
Precedents
Quarterly COLP compliance breach monitoring recordA: General informationDate of monitoring review[insert date of monitoring review]Person conducting...
Read More >
31st Jul
Precedents
Quarterly COLP compliance board report1General informationDate of this report[insert date]Date of last report[insert date]Name of person submitting...
Read More >
31st Jul
Precedents
Deed of indemnity—compliance officer for finance and administration (COFA)This Deed is made on [insert date]Parties1[The persons whose names and...
Read More >
31st Jul
Precedents
Compliance officer for finance and administration—COFA—job description and role profile—20191Compliance officer for finance and administration (COFA)...
Read More >
31st Jul
Precedents
Compliance officer for legal practice—COLP—job description and role profile—20191Compliance officer for legal practice (COLP) detailsName of...
Read More >
30th Jul
Precedents
COLP compliance breach—annual reviewA: General informationDate of monitoring review[insert date of monitoring review]Person conducting monitoring...
Read More >
30th Jul
Precedents
COFA compliance breach monitoring—annual reviewA: General informationDate of monitoring reviewPerson conducting monitoring reviewB: Consolidated...
Read More >
30th Jul
Precedents
Quarterly COFA compliance board report1General informationDate of this report[insert date]Date of last report[insert date]Name of person submitting...
Read More >
30th Jul
Precedents
Monthly COFA compliance breach monitoring recordA: IntroductionDate of monitoring reviewPerson conducting monitoring reviewB: Consolidated...
Read More >
30th Jul

Popular documents