Upcoming Seminars 

‘SRA Looking to the Future Programme – Working Professionally with Financial Advisers in 2019 and Beyond’ 

Thursday 14th November 2019 – 5.30p.m. to 7p.m. at Colchester United Football Stadium 

We are hosting our next event on Thursday 14th November 2019 at Colchester United Football Stadium between 5.30p.m. and 7p.m. where Dave Seager, Managing Director of SIFA Professional, will be our keynote speaker for the evening. 


This seminar is designed purely for solicitors, to help them fully understand the key changes being made to the SRA Regulations, which take effect on 25th November 2019.

It will be of interest to solicitors who already refer their clients to a financial adviser(s); those looking to grow their own Practice by establishing closer professional relationships with financial advisers to provide complimentary client services, and; it will be of particular interest to the Compliance Officer for Legal Practice (COLP) within law firms.


Topics Covered:

  • The impetus behind The SRA’s Looking to the Future’ programme.
  • From Outcomes to Principles – The Significance of ‘Best Interests’ and the Referral rules
  • It’s has to be about ‘Due Diligence’.
  • The interaction between the new Individual and Firm Codes of Conduct
  • Transparency, Price & Service Information – Why this is positive


Learning Outcomes:

  • To comprehend the background to the regulator’s reform programme
  • To understand the rules for referral to third parties, including financial advisers
  • The interaction between the individual and firm codes of conduct for referrals
  • To comprehend the SRA’s desire for firm-wide processes
  • Understand the importance of research and due diligence in demonstrating ‘best interests’.
  • Obtain some positive business consultancy on presenting fixed process and transparency

The evening will also provide an excellent opportunity to network with professional colleagues over a glass of wine.



  • 5.30 – 6.00 p.m. Arrival & Drinks Reception
  • 6.00 – 6.05 p.m. Welcome & Introductions
  • 6.05 – 6.50 p.m. ‘Looking to the Future – Working Professionally with Financial Advisers in 2019 and Beyond’ by Dave Seager, Managing Director of SIFA Professional
  • 6.50 – 7.00 p.m. Questions & Close

This event is free to attend, but places are limited and pre-booking is required. To reserve your place, please complete the booking form below.