Investigating Potential Compliance Breaches - A Guide for COLPs

Introduction

Investigating potential compliance breaches is one of the critical tasks in law firm management.

Presented by compliance expert Paul Bennett, this highly practical webinar is designed to support COLPs and directors when conducting internal investigations.

What You Will Learn

This webinar will cover the following:

• Your duties under the Code of Conduct for Solicitors and Code of Conduct for Firms
• How to investigate a potential compliance breach
• How to gather evidence in relation to potential compliance breaches
• What records to keep to demonstrate your investigation is fair, reasonable and proportionate (critical from an employment, partnership and regulatory context)
• How serious is an allegation
• How to assess intent and motivation
• The risks of remedial action in client matters in relation to breaches
• Whether to investigate prior to reporting to the SRA, or after reporting to the SRA

This webinar was recorded on 22nd January 2025

You can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.