The Compliance Calendar Toolkit for Law Firms

This report is aimed at the COLP and COFA, providing tools to keep you on track with your compliance duties. It offers manageable ‘to-do’ lists along with thought-provoking features for each month in an annual cycle that can start at any point in the year.

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Details

Description

Many law firm compliance officers are struggling due to the increasingly complex and fast-changing regulatory environment. There is growing emphasis on monitoring and implementing systems, and for the COLP and COFA to be able to demonstrate compliance.
The Compliance Calendar Toolkit for Law Firms, through month by month trackers and checklists, ensures you will have an audit trail to show you have dealt with the main systems, controls, policies, and procedures which need to be addressed. In short, it is a practical blueprint to ensure your firm’s compliance.
This quick reference toolkit is needed by COLPs, COFAs, and any other law firm compliance professionals. It is designed to alleviate the stress of your varied duties, and provides:

  • Manageable to-do lists;
  • Targeted COLP and COFA articles addressing areas of concern;
  • Cutting edge tips based on the authors’ experience;
  • Clear guidance on what you have to do to comply;
  • Monthly, quarterly, semi-annual and annual checklists (included on an accompanying CD).

The report and accompanying CD ROM can be used at any point in the year.

Contents

Chapter 1: COLP Month 1: Monitoring and managing compliance

Chapter 2: COFA Month 1: Trusting the financial controller

Chapter 3: COLP Month 2: Client and matter engagement issues for COLPs – Part 1

Chapter 4: COFA Month 2: Clearing old balances on the client account

Chapter 5: COLP Month 3: Client and matter engagement issues for COLPs – Part 2

Chapter 6: COFA Month 3: Making sure you do not provide banking services for your clients

Chapter 7: COLP Month 4: Honest rogues?

Chapter 8: COFA Month 4: Office credit balances

Chapter 9: COLP Month 5: Independence

Chapter 10: COFA Month 5: What breaches have to be reported to the SRA?

Chapter 11: COLP Month 6: Compliance officers’ annual report

Chapter 12: COFA Month 6: The COFA and the SRA

Chapter 13: COLP Month 7: COLP reporting requirements – a day in the life

Chapter 14: COFA Month 7: Interest on money in the client account

Chapter 15: COLP Month 8: Supervision

Chapter 16: COFA Month 8: Transfers

Chapter 17: COLP Month 9: Confidentiality

Chapter 18: COFA Month 9: Seven deadly sins: Educating the fee-earners

Chapter 19: COLP Month 10: Compliance – Instead of risk management?

Chapter 20: COFA Month 10: Residual balances on client account

Chapter 21: COLP Month 11: Firm-wide client risk assessment

Chapter 22: COFA Month 11: The COFA and the partners – Trust but verify

Chapter 23: COLP Month 12: The international perspective

Chapter 24: COFA Month 12: Troubles with disbursements

Check our Executive Summary and full table of contents here

Authors

Francis Dingwall
Practising solicitor and partner, Legal Risk LLP
Frank Maher
Practising solicitor and partner, Legal Risk LLP

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