14 Sra courses

This training is designed for lawyers and covers key topics to ensure compliance with the Specialist Quality Mark (SQM) and other regulations.

This course satisfies the supervision requirements in the LAA Standard Contract & covers the key skills needed to ensure compliance with the LAA Contract.

This training is for lawyers and covers key topics to ensure compliance with the Lexcel standard and other regulations.

The COLP role goes beyond just ensuring your firm follows the rules in the SRA Standards and Regulations, it also comes with a personal accountability factor that demands your attention. Fear not! This 3 hour course will usher you through the intricacies of being a COLP, ensuring you not only meet but excel in your regulatory obligations.    The course will cover: * Navigating the Regulatory Landscape: Understanding the Framework for COLPs Dive into the intricate regulatory framework that Compliance Officers for Legal Practice (COLPs) operate under. * Shouldering the Responsibility: Unpacking the Duties of a COLP Explore the multifaceted responsibilities that come with the role of a COLP. * Choosing the Right Leader: Identifying the Ideal COLP Candidate Learn the criteria for selecting the most suitable individual to take on the crucial role of COLP. * Cracking the Codes: Key Elements of Codes and SRA Principles Delve into the essential components of the Codes and SRA Principles that form the backbone of legal compliance. * Building a Robust Foundation: Understanding Compliance Systems for All Firms Explore the concept of compliance systems, what they entail, and why every firm should have one in place. * Reporting Matters: Recognising 'Serious' Issues, SRA Enforcement Strategy, and Reporting Protocols Uncover the definition of 'serious' matters, grasp the SRA Enforcement Strategy, and gain practical insights on making effective reports to the SRA. * Paper Trails Matter: Effective Record Keeping, Including Non-material Breaches Master the art of comprehensive record-keeping, including strategies for recording non-material breaches, and understand why it's integral to compliance. * Personal Liability: Understanding and Mitigating Risks Navigate the landscape of personal liability for COLPs and develop strategies to mitigate associated risks. * Staying Ahead: Keeping Abreast of Regulatory Changes and Guidance Develop effective strategies for staying up to date with dynamic regulatory changes and evolving guidance. * Planning for Compliance: Crafting a Robust Strategy, Assessing Risk, and File Reviewing Formulate a comprehensive plan for tackling compliance, including risk assessment, maintaining risk registers, and implementing effective file reviewing. * Across the Board: Legal and Regulatory Compliance Areas Every COLP Must Master Gain a high-level overview of crucial legal and regulatory compliance areas, including AML, transparency rules, and other pivotal aspects that demand the attention of all COLPs. TARGET AUDIENCE This online course is suitable for those new to the COLP role, or those supporting the COLP and for those that would like a refresher of the role and their responsibilities. RESOURCES Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER HELEN TORRESI, CONSULTANT, DG LEGAL [https://dglegal.co.uk/the-team/helen-torresi/] Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

In January 2024 alone, reports were published about the SRA taking enforcement action against 3 firms and 4 individuals for failure to comply with the Money Laundering Regulations 2017. The fines issued for these non-compliances total over £570,000 plus costs. The absence of staff training, or requirement to complete additional training, was noted in a number of these cases. Action has not only been taken against solicitors, but also other individuals who are not regulated by the SRA, whose breaches were so serious that the SRA felt compelled to take action.  As all SRA enforcement action, from rebukes to fines, is published by the SRA, the potential financial and reputational impact upon firms may be felt by all staff, regardless of whether they had any direct involvement with the non-compliance. This course will cover the following to assist support staff in understanding the fundamental aspects of AML. * The basics of what AML is * In scope / not in scope work for AML * POCA / TA * PCPs - CDD & EDD * Clients * Risks – what could raise a risk? * Reporting to the MLRO / MLCO * Tipping off TARGET AUDIENCE The online course is suitable for support staff or legal practitioners wanting to understand the basics of AML. RESOURCES Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER HELEN TORRESI, CONSULTANT, DG LEGAL [https://dglegal.co.uk/the-team/helen-torresi/] Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

In January 2024 alone, reports were published about the SRA taking enforcement action against 3 firms and 4 individuals for failure to comply with the Money Laundering Regulations 2017. The fines issued for these non-compliances total over £570,000 plus costs. The absence of staff training, or requirement to complete additional training, was noted in a number of these cases. As a manager of a law firm, or more crucially an MLRO or MLCO, the ultimate responsibility for the firm's compliance, including with the MLR 2017, lies with you. It is your responsibility to ensure that the firm puts in place, reviews and updates compliant policies, controls and procedures. You must ensure that the firm maintains an up to date practice wide risk assessment. You are required to ensure that your employees are regularly given training on the MLR 2017 and associated risks. If a breach occurs, the SRA will take a wider look at the firm and identify any supervisory deficiencies that may have contributed to failures by fee earners or support staff. It has proven that it will not shy away from holding to account managers, compliance officers and MLRO/MLCOs for failures by their firms to comply with requirements of the MLR 2017. This course will cover the following to assist firms MLROs, MLCOs and Management with fulfilling their AML management responsibilities: * How to comply with your obligations and stay compliant * FWRA – linked with PCPs * Mandatory AML Policies and Procedures - SRA have concerns * Training and supervising staff * Audits * SRA requirements * Reporting SARS * POCA/TA * Fulfilling reporting officer and compliance officer duties TARGET AUDIENCE The online course is suitable for MLROs, MLCOs, firm management and those supporting these roles. RESOURCES Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER HELEN TORRESI, CONSULTANT, DG LEGAL [https://dglegal.co.uk/the-team/helen-torresi/] Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

In January 2024 alone, reports were published about the SRA taking enforcement action against 3 firms and 4 individuals for failure to comply with the Money Laundering Regulations 2017. The fines issued for these non-compliances total over £570,000 plus costs. The absence of staff training, or requirement to complete additional training, was noted in a number of these cases. Many of the breaches resulting in enforcement action involved failures by the fee earners to conduct appropriate due diligence, adequately check the source of funds and/or wealth or recognise and report red flags. As highlighted by enforcement action being taken against individuals as well as firms, fee earners cannot hide behind their firm when AML failures occur and may be held personally accountable by the SRA for non-compliances with the MLR 2017. This course will cover the following to assist fee earners in the application of AML in their casework. * How to comply with your obligations and stay compliant * Written CRA & MRA * Client * Booms * Risks – what to consider? * PCPs – CDD &EDD * POCA / TA * SOF and SOW * On going monitoring * Reporting to MLRO/MLCO * Tipping off TARGET AUDIENCE The online course is suitable for fee earners or legal practitioners that want to improve their AML knowledge. RESOURCES Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER HELEN TORRESI, CONSULTANT, DG LEGAL [https://dglegal.co.uk/the-team/helen-torresi/] Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

The professional working world has changed more rapidly than could have been envisaged at the time of the introduction of GDPR and the Data Protection Act 2018. With more people working from home post-Covid and the ever increasing risk of cyber-attacks, this short course is aimed at taking stock of current practice and risk, as well as considering ICO enforcement action and the implications of hybrid working.  It is also a great recap on the rules as they stand and what you need to know to comply.  The course will cover: * UK GDPR - A timely reminder of the rules * ICO enforcement action and what we can learn * Data Protection Impact Assessments - when and how to do them * Hybrid working and UK GDPR * Managing cyber attacks from a UK GDPR perspective TARGET AUDIENCE The online course is suitable for staff of all levels, from support staff to senior partners. RESOURCES Course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER MATTHEW HOWGATE, CONSULTANT, DG LEGAL [http://dglegal.co.uk/the-team/matthew-howgate/] Matt is a non-practising solicitor who has considerable experience in regulatory issues and advising on complex issues of compliance and ethics. He is also an expert in data protection, UK GDPR and on the civil legal aid scheme. Matthew is a lead trainer on and co-developed the LAPG Certificate in Practice Management (a training programme for legal managers and law firm owners) as well as regularly providing training on legal aid Supervision, costs maximisation, data protection and security and on general SRA compliance.  

There are a number of reasons why it is important to actively promote equality and diversity within your business and the wider community, not only to ensure compliance with anti-discrimination legislation and professional regulations, including the SRA Standards & Regulations.  There will also be business benefits to the organisation including attracting and retaining talented staff, improving staff morale, potentially accessing a wider client base and enhancing service levels and client satisfaction. Join us for this useful overview session on Equality, Diversity & Inclusion which will cover the following points; * The Meaning of Equality * Discrimination * Harassment & Victimisation * Unconscious Bias * The Equality Act & the Protected Characteristics * Reasonable Adjustments * Complying with E&D requirements TARGET AUDIENCE The online course is suitable for staff of all levels, from support staff to senior partners. RESOURCES Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. SPEAKER AMIE HIGGINS, CONSULTANT, DG LEGAL Amie is a Senior Solicitor, qualified under the Law Society’s Immigration & Asylum Accreditation Scheme (IAAS) as an Advanced Caseworker and Supervisor. Amie specialises in all aspects of Immigration, Asylum and Human Rights work, with a specialism in human trafficking/modern slavery cases and working with vulnerable clients. Amie is an experienced trainer, delivering a range of training on both legal and practice management topics.

Imagine being a confident and competent solicitor, equipped with the knowledge and skills necessary to succeed in the legal profession. Our course "Practicing as a Solicitor: Essential Skills and Knowledge" can help you turn this vision into a reality. With a comprehensive curriculum that covers the standards of professional conduct, legal ethics, relationship-building, and more, you'll gain the valuable skills needed to excel as a solicitor. Learning outcomes: * Develop a solid understanding of the role and responsibilities of a solicitor * Learn about the standards of professional conduct and ethical principles that guide the profession * Gain knowledge about relationships with clients, the court, and other solicitors * Understand the concepts of privilege and confidentiality in the context of legal practice * Explore the aspects of practising as a solicitor, including legal ethics and complaining * Enhance your skills in communication, relationship-building, and legal research The "Practicing as a Solicitor: Essential Skills and Knowledge" course is ideal for anyone who is interested in pursuing a career in the legal profession, particularly as a solicitor. The course is designed to provide learners with a comprehensive understanding of the principles, rules, and practices that govern legal practice in the UK. Throughout the course, you will cover eight modules that cover a range of topics related to solicitor practice, including professional conduct, ethics, relationship-building, and legal research. The course is delivered through a combination of readings, case studies, and assessments, providing a comprehensive and engaging learning experience. Enrol now in "Practicing as a Solicitor: Essential Skills and Knowledge" and take the first step towards a successful career in the legal profession. With our comprehensive course, you will gain the knowledge and skills necessary to become a competent and confident solicitor. Certification Upon completion of the course, learners can obtain a certificate as proof of their achievement. You can receive a £4.99 PDF Certificate sent via email, a £9.99 Printed Hardcopy Certificate for delivery in the UK, or a £19.99 Printed Hardcopy Certificate for international delivery. Each option depends on individual preferences and locations. CPD 10 CPD hours / points Accredited by CPD Quality Standards WHO IS THIS COURSE FOR? * Aspiring solicitors who want to develop their knowledge and skills in legal practice * Law graduates who want to prepare for the Solicitors Regulation Authority (SRA) assessments * Legal professionals who want to enhance their skills and knowledge in solicitor practice * Anyone interested in learning about the principles and practices that govern legal practice in the UK * Individuals who want to pursue a career in the legal profession CAREER PATH * Trainee solicitor: £22,000-£40,000 per annum * Solicitor: £40,000-£90,000 per annum * Senior solicitor: £70,000-£120,000 per annum * Partner: £100,000-£300,000 per annum * Head of legal: £150,000-£500,000 per annum