Topics covered in this session include:
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Key dates and suggested steps in the transition process
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Developing a roadmap and generating buyin to support the transition
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A recap on the key features of OFR
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Outcomes and Indicative Behaviours – a detailed analysis and explanation
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Responsibilities of the firm and of key individuals
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The roles of the Compliance Officer for Legal Practice (COLP) and Compliance Officer for Finance and Administration (COFA)
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Client Care, Equality and diversity, Conflicts of interest, Confidentiality and disclosure
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Your client and the court, Your client and 3rd parties
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The Management of Business, Separate businesses
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Publicity, Fee sharing and referrals
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You and your regulator
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Summary and questions
