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CPD: RISK AND COMPLIANCE
Risk Management

Intended audience:  
Solicitors

Duration:
100 minutes

Format:   
Small group workshop focusing on the firm’s procedure manual, compliance and risk management.

Objective:
The objective of this course is to enable participants to consider and apply the firm’s approach to compliance and risk management.

Topics:

  • Accepting instructions, client identification, matter inception and scoping: Rules 2.01 and 2.02
  • Letters of engagement and limiting liability
  • Fees – the likely overall costs and updating clients as the matter progresses: Rule 2.03
  • File integrity (including general files)
  •  Supervision of each client’s matters: Rule 5.03
  • Effectively managing the client’s expectations as the matter progresses regarding changes to scope and likely overall cost
  • Handling complaints and effectively dealing with potential claims

Outcomes:  

  • Participants are able to identify and respond effectively to the risks which they encounter in their day-to-day work
  • Participants comply fully both with regulatory requirements and the firm’s risk management procedures
  • Participants use their risk management skills to provide a high quality of client service

The Training Team

Trainer
Andrew Dines

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To find out more or to book a course

Contact Rachel Berry by either using the contact us form, emailing, or calling 01454 550066

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