Regulators

Articles

COLPs Supplement | Complying with the accounts rules
Solicitors Journal

COLPs Supplement | Complying with the accounts rules

Of the two compliance officer roles that open for nominations the COLP has, understandably, attracted ?the greatest attention. The main concern for the COFA will be the Accounts Rules. Jayne Willetts examines five of the most common breaches that can lead to non-compliance and that ?the COFA will therefore ?need to monitor.
ABS diary | Supervisors, accounts and lender panels
Solicitors Journal

ABS diary | Supervisors, accounts and lender panels

As her firm continues its ABS journey, Bernadette Summers explores the benefits of sharing ideas, has a surprise visit from her SRA supervisor and faces a setback with lender panel membership renewal