Documentation & Record Keeping - A Guide for COLPs

Introduction

The role of the COLP has been in place for approximately 12 years and those fulfilling the position face an evolving expectation from the SRA.

Presented by compliance expert Paul Bennett, this webinar will detail what documents COLPs should retain and what information must be recorded.

You will receive practical guidance on how to discharge your duties in a manner that reduces the risks of damage to the firm’s reputation and ensures that the SRA have confidence in you as COLP when things go wrong.

What You Will Learn

This webinar will cover the following:

• What documentation should you be delivering monthly and annually within your firm?
• What records are required to protect the reputation of the COLP and the firm?
• The importance of a risk register
• The importance of a record of breaches (both serious and non-serious)
• What is the SRA’s reporting and notification guidance, and when do you need to apply it?
• What records of your decision making should you keep?

This pre-recorded webinar will be available to view from Tuesday 4th March 2025

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