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Compliance

What Compliance covers

Acting professionally, ethically and in compliance with the relevant up-to-date legal and regulatory requirements.

Levels

From Foundation to Advanced, we have all aspects of Compliance comprehensively covered.

This content will cover foundational topics and themes that are essential to practice. It will primarily be of interest to early career stage practitioners. It will include:

  • Acting ethically with professionalism, honesty and integrity.
  • Understanding and adhering to the relevant regulations, the SRA handbook and code of conduct.
  • Learning about the relevant legal and regulatory requirements.
  • Learning about different expertise areas to recognise the boundaries of your knowledge.
  • Starting to recognise how to apply the relevant laws and regulations.

This content will provide a more robust educational and professional development experience. It will be primarily of interest to members and practitioners who are looking to underpin existing knowledge, or broaden their areas of practice. It will include:

  • Applying ethics, professionalism, honesty and integrity in everything you do.
  • Knowing the SRA handbook, code of conduct and applying this knowledge in a range of relevant legal scenarios.
  • Staying up-to-date with the relevant legal and regulatory requirements.
  • Recognising and acting within the boundaries of area of expertise.
  • Applying the relevant legal and regulatory requirements effectively.

Advanced-level content will offer a sophisticated professional learning experience, and it is aimed at underpinning practice excellence. Expectations of prior learning or assumed knowledge will be clearly stated for this type of content. It will include:

  • Encouraging ethics, professionalism, honesty and integrity when solving a variety of problems.
  • Applying the SRA handbook and code of conduct as well as having a track record of consistently applying it in practice.
  • Being a source of knowledge on up-to-date legal and regulatory requirements within area of expertise.
  • Acting within the boundaries of area of expertise and bringing the relevant knowledge together to resolve problems.
  • Having a track record of effective application of the relevant legal and regulatory requirements.

Topics for Compliance

  • Compliance (16)
  • Practice areas and interests (11)
  • Ethics (6)
  • Risk (5)
  • Personal development (5)
  • Residential Property (5)
  • Code/regulatory overview (4)
  • Risk & compliance (4)
  • Managing my career (4)
  • In-house Practice (4)
  • Client at the core (3)
  • AML (3)
  • COLP (3)
  • Data Protection (3)
  • Fraud & cyber (3)
  • Technology (3)
  • Dealing with vulnerable clients (2)
  • Career planning for different stages (2)
  • Looking after yourself/mental health awareness (2)
  • Resilience skills (2)
  • Children’s Law (2)
  • Data Analytics (2)
  • Risk management; the big picture & mind mapping (1)
  • Selling a law firm – the legal process, due diligence & emotional journey (1)
  • The macro socio-economic & political climate (1)
  • Influencing & Negotiation; Personality types (1)
  • Fair treatment (1)
  • Appraisals & 1-2-1s (1)
  • Dealing with plateau stages in my career (1)
  • Reflective practice (1)
  • Family Law (1)
  • Cyber Security (1)
  • Business management (1)
  • Preparing a law firm for sale (1)
  • Above & below the line marketing
  • Active Listening
  • Anti-bribery
  • Artificial Intelligence
  • Avoiding complaints
  • Banking
  • Becoming a manager
  • Blockchain
  • Budgeting; profit & loss/balance sheet
  • Bullying & harassment
  • Capital Markets and other areas of law
  • Careeer coach
  • Catastrophic Injury
  • Change management
  • Chat bots; Automatic recognition tools
  • Choose your attitude
  • Client monies & solicitors account rules
  • Clinical Negligence
  • Closing the sale and implementing a retainer
  • COFA
  • Commercial & Contract Law
  • Commercial development
  • Commercial Propery
  • Communication in plain English
  • Communication in plain English; Dealing with clients whose first language is not English
  • Complaints Handling; Relationships with Insurers
  • Computational thinking; e-discovery
  • Conflict management & dealing with aggressive behaviour
  • Converting leads into cases
  • Corporate Law
  • Corporate models and governance
  • Credit control & nil balances
  • Criminal Finances Act
  • Criminal Law
  • Critical thinking; Making difficult decisions
  • Cross selling
  • Dealing with aggressive clients
  • Dealing with clients whose first language is not English
  • Dealing with emergencies relating to clients – when to involve third parties
  • Design; Client portals; The Cloud
  • Detecting signs of dissatisfaction
  • Disciplinary & grievance
  • Dispute Resolution
  • Driving organisational change
  • Effective buddying
  • Embedding organisational values and culture
  • Employment Law for managers
  • Equal pay
  • Equality, diversity & inclusion
  • File management and time recording
  • Finances; Personal budgeting & financial management
  • Financial sustainability
  • First Aid at work
  • First contact: Telephone skills
  • Geo mapping & data analysis tools
  • Handling a breakdown in client relationship
  • Holding difficult conversations
  • How law firms make money (overview)
  • How to handle a SRA investigation
  • How to manage diversity effectively
  • HR for managers; How to conduct effective 1-2-1s & appraisals
  • Immigration & Ayslym
  • Inclusive leadership
  • Influencing techniques
  • Innovation & market disruption
  • Intellectual Property
  • Knowledge Management
  • Lawyer versus counsellor – where your duties start and end
  • Leadership and management
  • Leadership skills
  • Lean in
  • Learning styles and getting the most out of people
  • LinkedIn & social media
  • Local Government
  • Manager as a coach
  • Managing absence
  • Managing the billing cycle in line with the legal process
  • Managing underperformance
  • Measuring conversion
  • Media training
  • Mental Capacity
  • Mental Health
  • Mentoring
  • MLRO
  • Monitoring CPE & CPA
  • Networking; Begin with the WHY
  • New media literacy
  • New parent & work
  • Overcoming anxiety; self-awareness
  • Personal effectiveness & time management
  • Personal Injury
  • Pitching & tendering
  • Planning; From strategic thinking to tactical delivery
  • Practice Management Systems
  • Presentation skills Online & offline
  • Pricing
  • Privacy; Legal Operations
  • Private Equity
  • Professional Negligence
  • Programming workflow
  • Project management; Lean/Agile management
  • Public speaking
  • Retirement planning
  • Sector-based marketing
  • Setting up as a sole practitioner
  • Solicitors disciplinary tribunal & sanction
  • Strategic thinking
  • Supervision and feedback
  • Target setting
  • Tax
  • Technology specific project management
  • Understanding the customer journey
  • User of IT to support lean working
  • Virtual team work and collaboration
  • What a client wants – an holistic approach to legal needs
  • Word; Excel; Powerpoint; MS Exchange
  • Writing for print/blogging
  • Compliance (16)
  • Practice areas and interests (11)
  • Ethics (6)
  • Risk (5)
  • Personal development (5)
  • Residential Property (5)
  • Code/regulatory overview (4)
  • Risk & compliance (4)
  • Managing my career (4)
  • In-house Practice (4)
  • Client at the core (3)
  • AML (3)
  • COLP (3)
  • Data Protection (3)
  • Fraud & cyber (3)
  • Technology (3)
  • Dealing with vulnerable clients (2)
  • Career planning for different stages (2)
  • Looking after yourself/mental health awareness (2)
  • Resilience skills (2)
  • Children’s Law (2)
  • Data Analytics (2)
  • Risk management; the big picture & mind mapping (1)
  • Selling a law firm – the legal process, due diligence & emotional journey (1)
  • The macro socio-economic & political climate (1)
  • Influencing & Negotiation; Personality types (1)
  • Fair treatment (1)
  • Appraisals & 1-2-1s (1)
  • Dealing with plateau stages in my career (1)
  • Reflective practice (1)
  • Family Law (1)
  • Cyber Security (1)
  • Business management (1)
  • Preparing a law firm for sale (1)
  • Above & below the line marketing
  • Active Listening
  • Anti-bribery
  • Artificial Intelligence
  • Avoiding complaints
  • Banking
  • Becoming a manager
  • Blockchain
  • Budgeting; profit & loss/balance sheet
  • Bullying & harassment
  • Capital Markets and other areas of law
  • Careeer coach
  • Catastrophic Injury
  • Change management
  • Chat bots; Automatic recognition tools
  • Choose your attitude
  • Client monies & solicitors account rules
  • Clinical Negligence
  • Closing the sale and implementing a retainer
  • COFA
  • Commercial & Contract Law
  • Commercial development
  • Commercial Propery
  • Communication in plain English
  • Communication in plain English; Dealing with clients whose first language is not English
  • Complaints Handling; Relationships with Insurers
  • Computational thinking; e-discovery
  • Conflict management & dealing with aggressive behaviour
  • Converting leads into cases
  • Corporate Law
  • Corporate models and governance
  • Credit control & nil balances
  • Criminal Finances Act
  • Criminal Law
  • Critical thinking; Making difficult decisions
  • Cross selling
  • Dealing with aggressive clients
  • Dealing with clients whose first language is not English
  • Dealing with emergencies relating to clients – when to involve third parties
  • Design; Client portals; The Cloud
  • Detecting signs of dissatisfaction
  • Disciplinary & grievance
  • Dispute Resolution
  • Driving organisational change
  • Effective buddying
  • Embedding organisational values and culture
  • Employment Law for managers
  • Equal pay
  • Equality, diversity & inclusion
  • File management and time recording
  • Finances; Personal budgeting & financial management
  • Financial sustainability
  • First Aid at work
  • First contact: Telephone skills
  • Geo mapping & data analysis tools
  • Handling a breakdown in client relationship
  • Holding difficult conversations
  • How law firms make money (overview)
  • How to handle a SRA investigation
  • How to manage diversity effectively
  • HR for managers; How to conduct effective 1-2-1s & appraisals
  • Immigration & Ayslym
  • Inclusive leadership
  • Influencing techniques
  • Innovation & market disruption
  • Intellectual Property
  • Knowledge Management
  • Lawyer versus counsellor – where your duties start and end
  • Leadership and management
  • Leadership skills
  • Lean in
  • Learning styles and getting the most out of people
  • LinkedIn & social media
  • Local Government
  • Manager as a coach
  • Managing absence
  • Managing the billing cycle in line with the legal process
  • Managing underperformance
  • Measuring conversion
  • Media training
  • Mental Capacity
  • Mental Health
  • Mentoring
  • MLRO
  • Monitoring CPE & CPA
  • Networking; Begin with the WHY
  • New media literacy
  • New parent & work
  • Overcoming anxiety; self-awareness
  • Personal effectiveness & time management
  • Personal Injury
  • Pitching & tendering
  • Planning; From strategic thinking to tactical delivery
  • Practice Management Systems
  • Presentation skills Online & offline
  • Pricing
  • Privacy; Legal Operations
  • Private Equity
  • Professional Negligence
  • Programming workflow
  • Project management; Lean/Agile management
  • Public speaking
  • Retirement planning
  • Sector-based marketing
  • Setting up as a sole practitioner
  • Solicitors disciplinary tribunal & sanction
  • Strategic thinking
  • Supervision and feedback
  • Target setting
  • Tax
  • Technology specific project management
  • Understanding the customer journey
  • User of IT to support lean working
  • Virtual team work and collaboration
  • What a client wants – an holistic approach to legal needs
  • Word; Excel; Powerpoint; MS Exchange
  • Writing for print/blogging