COLP Conundrums - How to Investigate & Report an Allegation of Misconduct

Introduction

The role of the Compliance Officer for Legal Practice (COLP) may necessitate investigations after an internal report of an actual or potential regulatory breach is made.

During this virtual classroom seminar compliance expert Rebecca Atkinson will discuss how to conduct an investigation, what the SRA Code of Conduct requires when it comes to reporting to the SRA and what that report might look like.

What You Will Learn

This live and interactive session will cover the following:

• How to create a culture of openness to encourage internal reporting and the SRA's guidance in this area
• How to go about investigating an internal reported breach - what steps should be taken
• Who should undertake an investigation and what happens when the reporter doesn’t want to take part?
• What are the obligations when considering a report to the SRA - what is the test?
• Scenarios of when a report may be made
• What remedial action might be taken
• How to structure your report to the SRA
• What might happen after you report to the SRA

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.