SRA Standards and Regulations: Fundamentals
40 Minutes
SRA Code of Conduct for Firms: Leadership and Governance
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Topic
Duration
Industry
Jurisdiction
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Description
This course examines the responsibilities of those in leadership and governance roles under the SRA Code of Conduct for Firms. Through expert-led insight, role-specific pathways and real enforcement examples, learners explore how governance, supervision, systems and culture underpin regulatory compliance. The course addresses key risk areas including client money, competence, conflicts, complaints, reporting, outsourcing and cooperation with the SRA. It equips leaders, managers, COLPs and COFAs with practical guidance to identify risks early, respond appropriately, and embed a culture of accountability and transparency from the top down.
Course Objectives
- Recognise leadership and governance responsibilities under the SRA Code of Conduct for Firms
- Identify how systems, supervision and culture contribute to firm-wide compliance or regulatory risk
- Evaluate real-world enforcement case studies to illustrate how the SRA sanctions regulatory noncompliance
- Distinguish the specific responsibilities of managers, COLPs and COFAs
- Determine when issues must be escalated, recorded or reported to the SRA
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This is a trial version of the course SRA Code of Conduct for Firms: Leadership and Governance Please note, we do not offer certificates for trial course completions.
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