SRA Standards and Regulations: Fundamentals
40 Minutes
SRA Advanced: Compliance at Your Firm
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Description
Owners, managers, and compliance officers in SRA-regulated law firms have specific responsibilities to ensure their firm complies with the Solicitors Regulation Authority Standards and Regulations, particularly the Code of Conduct for Firms. This advanced course focuses on what effective compliance looks like in practice at the Firm level. Learners explore leadership and governance responsibilities, the need to demonstrate compliance through systems, controls, and records, and the personal accountability that applies even where tasks are delegated.
The course also examines the additional duties of HOLPs, COLPs, and COFAs, including reporting obligations, cooperation with the regulator, and managing serious breaches. Through practical examples, matching exercises, and scenario-based questions, the course helps learners understand how compliance failures arise, how the SRA Enforcement Strategy is applied, and how aggravating and mitigating factors may influence regulatory outcomes.
Course Objectives
- Explain the responsibilities of firms, managers, and compliance officers under the SRA Code of Conduct for Firms
- Analyse how governance structures, systems, and controls support regulatory compliance
- Recognise when issues may amount to serious breaches requiring escalation or reporting to the SRA
- Evaluate aggravating and mitigating factors that may influence regulatory outcomes
- Apply appropriate steps to demonstrate compliance and respond effectively to regulatory concerns
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This is a trial version of the course SRA Advanced: Compliance at Your Firm Please note, we do not offer certificates for trial course completions.
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