The recent update to the Core Practice Management Standards (CPMS) requires CQS firms to have a policy in place in relation to learning and development (s4.1).
Policy documents can be time-consuming and difficult to prepare.
13 sections in the current version.
The Learning and Development Policy includes reference to:
...as well as other formalities and general obligations as required under 4.1 of the CPMS.
Own an earlier version? Buy only the paragraphs that have changed. Each paragraph arrives by email as a PDF as soon as you pay.
Supervisors, namely compliance officers,carry absolute liability for all staff actions, meaning delegation policies must now mandate strict competence checks. This draft wording addresses the operational liability.
Avoidance exposure now attaches directly to the firm as adviser, with acting on client instructions providing no defence. This updated section makes the prohibition explicit, requires COLP escalation within 24 hours via the Internal Compliance Notification Form, and mandates a file freeze pending review.
The firm’s core training should be updated to include 'Climate Change Legal Risk' as a mandatory annual requirement for all conveyancing personnel.
Aligns with CPMS Practice Standard 3.3c by integrating new HMRC-specific competency requirements. It ensures staff are trained not just on tax calculation, but on the ethical "HMRC Standard for Agents," which is soon to be a regulatory necessity.
The updated wording whereby the firm is promoting a consistent approach to managing everyday and emerging risks. Appendix 1 lists Core Topics for routine review and Suggested Topics based on ongoing risk assessments.
The Learning and Development Policy prioritises work-based learning, supplemented by methods such as file reviews, e-learning, shared knowledge hubs, courses, and webinars.
Buying 6 or more paragraphs? The full current policy costs the same or less at £395.00 + VAT.
Sample template bundles do not include a template to show the structure of the residential conveyancing department at a firm. The data protection policy template covers the requirements of CQS, however it is the responsibility of the firm to ensure it is compliant with the requirements of the General Data Protection Regulation.