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TCP TRAINING AND WORKSHOPS
All of the courses below are available
immediately and have already been rolled out to a number of firms and
organisations both in house and at conferences. Because law firm
compliance is a constantly changing field, TCP ensures that all course
content is reviewed and updated as necessary prior to any training session.
All courses qualify for CPD hours and can be personalised or adapted to suit the specific needs of your
firm or organisation.
Below is a list of all available training
courses, and below that, details of the content for each:
Please contact TCP , should you wish to discuss these and other
training
programs you would like TCP to provide.
SRA VISITS: THE REALITY
Compliance in Context: History, now and the
future
- Why it is now more important to achieve and prove your
compliance
Who might visit and why my firm
- Different
approaches by different SRA Units
- How
you might get selected
The visit process
- From
notification to post visit action.
Typical contents of a PSU report
- From
client care letters to Accounts Rules and Rule 9 on Referrals.
- Types
of follow up action required.
Focus on Rule 5
- Why
Rule 5 compliance is likely to be more important in the future.
Referrals for regulatory action
- What
is likely to get firms into trouble?
Your priorities
- The
final word is "Do it now, don't leave it"
ANTI-MONEY LAUNDERING & COUNTER
TERRORIST FINANCING
Background and definition of money laundering
Proceeds of Crime Act & Terrorism Act
- Offences, defences and disclosures
- Legal professional
privilege
Money Laundering Regulations 2007
- Main changes effective from 15 December 2007
- How to make your firm compliant
Considerations and assessing risk
- What is the risk of money laundering in your firm?
- How should you set
your procedures up?
Electronic verification
- A look at what providers are offering and how it might help
your firm
Code of Conduct Rule 5
- How the new code requires compliance with the new Regulations
Practical recommendations and workshop
Policy roll out (if used in conjunction
with the TCP
Anti-Money Laundering Model Policy )
SOLICITORS’ ACCOUNTS & FINANCIAL
COMPLIANCE MANAGEMENT
Management issues and responsibility for
compliance
- Who is responsible for compliance?
- The Solicitors Code of Conduct and the Solicitors’ Accounts Rules.
More detailed look at the SARs themselves
- Key areas and definitions
- Money received put in the wrong place?
- Legal Service Commission receipts
- Withdrawal of client money and transfer of costs
- The prompt return of client balances
- Interest provisions
- Accounting records and client account reconciliations
Elements of a good financial compliance
management system
- Recognising the regulatory environment
- Determining responsibilities/key tasks
- Developing working together systems: Accounts department V
fee earners
- Wider financial health and risk management
Constructive debate, practical examples, precedents and a quiz
THE CODE OF CONDUCT & THE SRA’S
ENFORCEMENT REGIME
Compliance in Context: History, now and the
future
- Why it is now more important to achieve and prove your
compliance
Important elements of the Code for high street
practices
- Rule 1 – Core duties
- Rule 2 – Client relations
- Rule 3 – Conflict of interests
- Rule 4 – Confidentiality and disclosure
- Rule 5 – Business management
- Rule 6 – Equality and diversity
- Rule 9 – Referrals of Business
Practical recommendations and discussion topics
- Mock Rule 2 letter: 10 suggested improvements
- Developing a complaints handling procedure
- Conflict of Interests and Confidentiality Flow Charts
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PRACTICAL CLIENT CARE & COMPLAINTS
HANDLING
The Solicitor’s Code on client care/complaints
handling
- Core duties, Rules 2, 5 and 20
- Solicitors Costs (Non-Contentious Business) Remuneration
Order 1994
- The Solicitors’ Financial Services (Conduct of Business)
Rules 2001
The Law Society’s complaints handling machinery
Common complaints and their causes
- “Nutters”, fire fighting, perceptions
and expectations
- Costs and client care problems in
particular legal disciplines
Ensuring good client care and early resolution
of complaints
Developing a complaints handling procedure
- Complaints strategy
- Consistency and co-ordination
- Record and review
Practical recommendations, discussion topics and
precedents
- Mock Rule 2 letter: 10 suggested improvements
- Precedent complaint form and register
- Mock Complaint: Mrs Wingebucket
COMPLIANT BUSINESS DEVELOPMENT FOR LAW
FIRMS
Compliance in Context: History and the future.
- Why it is now more important to achieve and prove your
compliance
“Entity based” regulation and the framework of
practice
- What is entity based regulation?
SRA new powers/requirements for recognition
Rule 5 Business Management and Lexcel
- Recognition requirement for “efficient business”/ “managers
suitable to operate a legal services business”?
Business development from a compliance
perspective
- Legal Disciplinary Practices/Alternative Business Structures?
- Rule 2.06 Commissions
- Rule 8 Fee sharing
- Rule 9 Referrals of Business (Referrals to and
from third parties)
- Rule 21 Separate Business
- Rules 17 Insolvency Practice, 18 Property Selling, 19
Financial Services
Claims Management Companies: The Compensation
(Claims Management Services) Regulations 2006
Practical recommendations
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COMPLIANCE FOR LEGAL AID PRACTIONERS
Compliance in Context: History and the future.
- Why it is now more important to achieve and prove your
compliance
- How your obligations to the LSC might already demonstrate
compliance
The important elements of the Code for legal aid
practitioners
- Rule 1 – Core duties
- Rule 2 – Client relations
- Rule 3 – Conflict of interests
- Rule 4 – Confidentiality and disclosure
- Rule 5 – Business management
- Rule 11 – Litigation and advocacy
Confidentiality, privilege and your duties to
the Court
Civil/Criminal Procedure Rules
Practical recommendations
Back to top
Please contact TCP , should you wish to discuss these and other training
programs you would like TCP to provide.
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