COLP and COFA conference 2015

The key to compliance

The SRA's third annual conference for compliance officers took place on 14 October 2015 at the Hilton Birmingham Metropole Hotel.

Plenary session

 

Welcome

Enid Rowlands, SRA Board Chair

 

 

Making it easier to do business

Paul Philip, Chief Executive

 

'A question of trust' toolkit for firms

Did you enjoy the interactive voting session on A question of trust at our COLP-COFA conference? Are you interested in running a similar session with your colleagues? Download our firm-friendly questions (ZIP, 270K) so that you can explore the issues in house. These slides offer you an opportunity to start the debate on what professional standards mean in your practice.

Workshop sessions

A new approach to continuing competence

Julie Brannan, SRA Director of Education and Training, Maxine Warr, SRA Policy Manager and Richard Williams, SRA Policy Associate  

Presentation slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-1-2015

Download breakout session 1 slides as PowerPoint file (PPT 19 pages, 265K)

Download breakout session 1 slides as PDF (PDF 19 pages, 477K)

Protecting client money

Carol Westrop, SRA Head of Legal Policy, Amanda Norton, SRA Regulatory Manager and Sean Hankin, SRA Investigation Team Manager

Workshop slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-2-2015

Download breakout session 2 slides as PowerPoint file (PPT 15 pages, 322K)

Download breakout session 2 slides as PDF (PDF 15 pages, 310K)  

Risk Outlook, Anti money Laundering and Cybercrime

Steve Wilmott, SRA Director of Intelligence and Investigations and George Hawkins, SRA Senior Technical Advisor, Risk Analysis and Research

Presentation slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-3-2015

Download breakout session 3 slides as PowerPoint file (PPT 30 pages, 1.4M)

Download breakout session 3 slides as PDF (PDF 30 pages, 578K)  

Our support for small firms

Robert Loughlin, SRA Executive Director and Patrick Reeve, SRA Regulatory Consultant

Presentation slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-4-2015

Download breakout session 4 slides as PowerPoint file (PPT 14 pages, 491K)

Download breakout session 4 slides as PDF (PDF 14 pages, 461K)  

SRA Handbook review

Juliet Oliver, SRA General Counsel and Chris Handford, SRA Director of Regulatory Policy

Presentation slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-5-2015

Download breakout session 5 slides as PowerPoint file (PPT 7 pages, 237M)

Download breakout session 5 slides as PDF (PDF 7 pages, 327K)

Changes in authorisation and how we can help you

Rachel Lewis, SRA Director of Authorisation and Contact Centre; Siobhan Chambers, SRA Senior Authorisation Advisor

Presentation slides

We hope you find the workshop presentation slides useful. (Please note that there is no audio track.)

workshop-6-2015

Download breakout session 6 slides as PowerPoint file (PPT 8 pages, 828K)

Download breakout session 6 slides as PDF (PDF 8 pages, 346K)

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