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

Module Leader
Andrew Dines

Trainer
Judith Raphaely

Fresh Professional Development  Ltd, The Forum, 277 London Road, Burgess Hill, West Sussex, RH15 9QU
t. 01454 550066, e. info@fdg.uk.com, w. www.freshpd.com © Fresh Professional Development Ltd. 2017

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