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A key element in any firm’s compliance with regulatory requirements is ensuring that all personnel are aware of what is required of them in terms of compliance and that they know what to do in order to put that into effect.
The compliance training to be found on the Infolegal Compliance Hub seeks to achieve just that.
Dealing with a range of compliance related topics, the training sets out to provide an overview of some of the more regularly encountered areas of compliance. It does this principally through short training videos which are augmented by access to factsheets, guides, written updates, slide presentations and educational PDFs.
- Money laundering,
- Data protection and GDPR,
- Conflict and confidentiality,
- Risk management,
- Equality and diversity,
- Duties of the COLP and COFA,
- Introductions and referrals,
- Retainers, and
- Client care.
Keeping Track of Your Training
Keeping a training record is important now that SRA require you to be able to demonstrate that the training that you have done is relevant to you.
The Infolegal Compliance Hub can help you with this in two ways.
First of all it keeps a record of all of the training you have undertaken through the Compliance Hub and the results of any quizes that you have completed. Secondly, it allows you to record a training plan and the training that you have undertaken other than on the Compliance Hub – letting you print off or save a record of that training for your firm’s training log.
Managing Training through the Compliance Hub
Not only can individuals access the individual online training courses, they and their managers can also keep track of which modules have been completed and how each trainee performed in related tests.
Member firms can assign individual logins to personnel within the firm (the number depends upon the package purchased) to enable them to undertake training in their own name and to record what they have done and how they have performed. A training manager can also be appointed with the ability to access statistics as to who has done which training course or the extent to which a particular course has been completed across the firm.
Individually registered users can use the system to make and save notes from anywhere within the training sections, factsheets, guides, bulletins and subject topic sections and where the firm appoints a training manager, they can use the Hub’s own messaging system for following up on training points or providing guidance as to what to consider next.
Finally, there is a feature which allows individuals to plan and record other training they have undertaken. These records can then be saved offline and retained by the individual or training manager, as appropriate.