COLP and COFA conundrum

We’ve appointed a COLP and a COFA but neither appointee is showing much enthusiasm for the role. How is this best addressed?

Firstly find out why they are lacking in enthusiasm. It is the Compliance Officersí duty to ensure the firm is compliant with the SRA Handbook which incorporates the SRAís Code of Conduct and the Solicitors Accounts Rules. If they discover breaches, they are obliged to report them to the SRA and for serious breaches they need to do so urgently. If they are perhaps feeling that they are not getting adequate support from the ìManagersî in the firm (the SRAís description of Partner/Director/Member/Shareholder) this can lead to a lack of enthusiasm. Or if they have become aware that the Firm is perhaps not as compliant in all Departments as it could be, this could lead to a certain amount of dissolution with the role.

Get to the bottom of the reason for the lack of enthusiasm and then tackle the issues. If they don’t do the job you may have to!