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Compliance management – on-demand recording

1 CPD Unit   On-demand recording
Practice management and business skills
Online

Hear from The Law Society's Regulatory Compliance Solicitor Frances Moffitt on processes that support compliance management.

Topics covered include:

  • Identify high risk compliance categories.
  • Examine why setting the right tone is important for managing compliance risks.
  • Suggest strategies for File management including:

             - Storage and retrieval of client documents
             - Undertakings
             - Communication/Managing clients expectations

Practitioners should inform themselves of Rule 6.1 of the Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015 which sets out the requirements for the four (4) mandatory CPD areas for NSW legal practitioners – (a) ethics and professional responsibility; (b) practice management and business skills; (c) professional skills; and (d) substantive law. It is the responsibility of each legal practitioner to self-assess as to whether a particular educational activity extends their knowledge and skills in areas that are relevant to their practice needs or professional development. If so, then the practitioner may claim one (1) "unit” for each hour of attendance, refreshment breaks not included.

If you self-assess that this particular educational activity extends your knowledge and skills, this program may allow you to claim one (1) of the mandatory areas: practice management and business skills.
Recorded on 14 October 2021
Frances Moffitt, Regulatory Compliance Solicitor, The Law Society of New South Wales

1 CPD units

Non-Member $150.00
Member $105.00

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