Course description
This 1-hour webinar will prompt COLPs and others responsible for file reviews to rethink their processes, get away from a ‘tick-box’ approach and make them more dynamic and relevant.
It will reflect the changes brought about by the SRA Standards and Regulations and also the impact of the hardening market for professional indemnity insurance.
By the end of this session, those responsible for your firm's file auditing will have a clear roadmap for a much-improved process.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
This webinar will prompt COLPs and those others responsible for file reviews to rethink their processes, get away from a ‘tick-box’ approach and make them more dynamic and relevant.
It will reflect the changes brought about by the SRA Standards and Regulations and also the impact of the hardening market for professional indemnity insurance.
By the end of this session, COLPs and others responsible for your firm's file auditing will have a clear roadmap for a much-improved process.
What You Will Learn
This webinar will cover the following:
- What makes a file review process really work
- Why the SRA’s 2019 Standards and Regulations should be reflected in your approach to file audits
- How to unbundle the process and improve each step
- File selection and audit conduct
- How to target files for review like an insurer or a regulator
- File audits for AML and SRA Accounts Rules compliance
- The regulatory context and the requirements of the various certification schemes such as Lexcel and CQS
- The different approaches required for paper and electronic audits
- What to consider with fee earners whether newly qualified or senior lateral hires or partners!
- How to gain real value from the process
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...