Control functions: Compliance officers for legal practice and financial administration -- 07/07/2011

We examine the roles of COLP (compliance officer for legal practice) and COFA (compliance officer for financial administration), alongside internal audit, where appropriate. We also discuss consider firms' governance arrangements, the strength of the relationship with the SRA, and how this benefits both the regulated community as a whole and the public interest.

Category:

Education

Tags:

• control
• functions