This session will provide an insight into the Society’s inspection and monitoring compliance regime and outline to members the role of the monitoring team and the Society’s risk based approach to proactive supervision.
It will also outline the most common areas of non-compliance from all aspects of its monitoring regime – to cover each of solicitors’ accounts, financial services, Home Charter and AML-CTF compliance.
The discussion will explain how such non-compliance is dealt with by the Professional Conduct department and will provide members with practical guidance on how to prepare for an inspection and how to ensure compliance throughout all regulatory areas noted.
This webinar will be delivered by the Society’s Head of Professional Conduct, Laura McCullough and Jane Reaney, Monitoring Manager.
