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Pricing

Non member £99.00 + VAT

Presenter

Dave Norris

About Dave
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What's Included

  • Expert Knowledge from an Industry-Leading Speaker
  • Verifiable CPD hours
  • CPD Tracking and Certificate
  • Live Webinar (if a future date is listed) with Q&A
  • The Recording of the Event
  • Supporting Materials

Objectives

The course aims to provide delegates with a refresher of key points based on feedback from the QAD, the Legal Ombudsman and discussion with firms. Any changes to regulations and guidance will also be considered with the aim that individuals remain up to date and provide a compliant and quality service.

Key topics

  • Brief refresher of when a probate licence is needed.
  • Feedback from QAD monitoring visits
  • Feedback on issues raised by the Legal Ombudsman
  • Practical points to minimise risk.
  • The points covered will depend on what is topical at the time but are likely to consider engagement, clients’ money, pricing and transparency, communication and quality control
  • PROBATE UPDATES
  • Access to UK financial institutions
  • Publishing in The Gazette
  • HMCTS update
  • Performance update
  • General updates for practitioners
  • Engagement letter help sheet update
  • ICAEW QAD MONITORING
  • Approach
  • Results – 2023
  • Visits – 2024 (so far)
  • Common pitfalls
  • ICAEW LIST OF INADVERTENT ISSUES
  • Keeping your regulator informed
  • Common eligibility issues
  • Authorised individuals
  • Probate affiliate status
  • Changes to firm legal entity (incorporations, dissolutions, mergers etc)
  • Specific issues at authorised firms
  • Specific issues at licensed firms
    Non-authorised owners (NAO's)
  • Diversity monitoring
  • Annual review and transparency
  • Dispensations
  • REMINDER OF PRICING TRANSPARENCY REQUIREMENTS
  • Mandatory publication of price and service transparency information
  • Monitoring compliance
  • What information must your firm publish?
  • Legal Services Regulations
  • PRACTICAL ISSUES FROM COMPLIANCE REVIEWS
  • Ethical Issues
  • Professional competence and due care
  • Independence and conflicts of interest
  • Other practical Issues
  • Get the paperwork right
  • Annual compliance review
  • Client onboarding

Who should attend

The course is aimed at those responsible for providing probate services, which will include authorised and licensed individuals, as well as those that support them.