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.

Training

Resources

Consultancy

Marketing

Partners

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