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Ethics And Professional Conduct > Duties To The SRA And Compliance > Flashcards

Duties To The SRA And Compliance Flashcards

1
Q

what is a COLP

A

compliance officer for legal practice

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2
Q

what is a COFA

A

compliance officer for finance and administration

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3
Q

what does a COLP do?

A

ensure compliance with T&Cs of the firms authorisation.

ensure the SRA is informed promptly of any facts or matters

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4
Q

what does COFA do?

A

ensure firm and employees comply with any obligations under SRA Account Rules.

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Ethics And Professional Conduct (10 decks)

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