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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

  • Ethics (6)
  • Risk (6)
  • Risk & compliance (6)
  • AML (5)
  • Code/regulatory overview (5)
  • Fraud & cyber (4)
  • Data Protection (3)
  • COLP (2)
  • Fair treatment (1)
  • Anti-bribery
  • Bullying & harassment
  • Client monies & solicitors account rules
  • COFA
  • Criminal Finances Act
  • Disciplinary & grievance
  • Equal pay
  • Equality, diversity & inclusion
  • Financial sustainability
  • How to handle a SRA investigation
  • MLRO
  • Solicitors disciplinary tribunal & sanction
  • Ethics (6)
  • Risk (6)
  • Risk & compliance (6)
  • AML (5)
  • Code/regulatory overview (5)
  • Fraud & cyber (4)
  • Data Protection (3)
  • COLP (2)
  • Fair treatment (1)
  • Anti-bribery
  • Bullying & harassment
  • Client monies & solicitors account rules
  • COFA
  • Criminal Finances Act
  • Disciplinary & grievance
  • Equal pay
  • Equality, diversity & inclusion
  • Financial sustainability
  • How to handle a SRA investigation
  • MLRO
  • Solicitors disciplinary tribunal & sanction