The COLP or Deputy COLP is often faced with difficult decisions.
If there has been a suspected breach of the SRA Standards & Regulations 2019 or the associated Codes of Conduct, they will have to decide how serious the breach is.
If they form the view that it is a serious concern (material breach) then they will have to potentially report it to the SRA.
Such decisions are rarely black and white and usually depend on the circumstances in which the breach occurred.
Sometimes one breach considered in isolation may not be reportable but if it forms part of a series or pattern or breaches then it may become reportable.
Cpm21 can act as a useful sounding-board for the COLP. We can provide guidance and templates to help you come to the right decision.
This service is frequently used by our existing firms. We can also offer it to your firm either on an annual retainer basis or on an ad hoc basis.
If you are new to the role or need a refresher about the 2019 changes then we can arrange remote or onsite training for you.
Contact us today to discuss your needs as COLP.
We are very experienced at providing guidance to Compliance Officers Legal Practice (COLP) and HOLPs.
