Welcome


The Online Compliance Consortium (OCC) is a business model designed for a regulated world.

The OCC collaboratively develops compliance and risk management training, tools and technology for the world's leading law firms. Representing 9 of the 10 magic circle firms, 60 of the top 100 UK firms and 24 of the top 25 US firms, the OCC applies a methodology that is designed to satisfy regulatory requirements whilst meeting the specific needs and quality standards of the world's leading law firms.

OCC Core Groups


Compliance and risk management is best achieved when enough businesses in a profession or industry work together pragmatically to create the necessary tools that set best practice standards.

The OCC Core Group model allows like firms to share financial, intellectual and human resources to create solutions that directly satisfy their combined requirements. Since its inception in 2003 the OCC has spawned 10 Core Groups:

Groups

OCC Risk Management System


The OCC Risk Management System (RMS) is designed to allow a Compliance Team to efficiently manage risk and demonstrate to management and its regulator how it is doing so. The RMS evidences and tracks the control procedures and related activities the firm has put in place offering presentation-quality reporting and a complete audit trail.

VinciWorks' Risk Consulting Team can assist Compliance Officers in building and maintaining their Compliance Plan, Compliance Gap Analysis, Risk Register and Control Procedures, to ensure firms are using the RMS to the best of its capabilities and are prepared for regulators.

The RMS is cloud-based and secure with an intuitive web interface and advanced user-management capabilities which centralises access-control, communications, follow-up, alerts, reporting and audit capabilities as a complete and dynamic solution to replace the static Excel-based Risk Registers in place at many firms.

What's New

Learning Management System


Based on the detailed specifications, features and functional requirements of 26 of the UK's leading law firms, VinciWorks designed and built the highly flexible OCC Learning Management System (LLMS) so that it could satisfy the unique needs of any professional firm.

The LLMS allows a firm to upload any format of learning content, automatically deploy, track, follow up and report on progress, scores, CPD, CLE and course completion whilst maintaining a detailed audit trail.

The LLMS includes VinciWorks unique "Nagware" that dynamically generates escalating reminders, and alerts that literally nag users to achieve compliance based on any event or non-event and or date.

OCC Online Compliance Training


Including Anti-Money Laundering, Anti-Bribery, Data Protection, Risk Management, Solicitors Accounts Rules, the OCC online compliance suite of training courses are tailored to the needs of professional firms and designed to satisfy regulatory requirements whilst meeting the quality standards of the world's leading law firms.

All OCC courses are customisable allowing firms to integrate their own policies, procedures and firm specific messages.

The OCC compliance courses can be licensed individually or on a per firm basis.

OCC Truths About Compliance

  • There is no competitive advantage in compliance
  • Regulatory breach reduces stakeholder value
  • Compliance costs money
  • There are never enough resources
  • Wanted: "Good Enough" Compliance
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About the OCC


Facilitated by VinciWorks the OCC has established itself as the benchmark for professional compliance solutions.

OCC Core Groups have to date produced the Online Compliance Suite consisting of innovative , highly engaging, e-learning training courses, a state of the art OCC Learning Management System and a Risk Register and Risk Management System. Current developments include a multi-jurisdictional CPD Tracking Engine, an Annual Declaration Management tool and a Client & Matter Inception solution.

VinciWorks


VinciWorks facilitates the activities of the OCC whilst developing and project managing innovative e-learning, training administration, compliance, risk and knowledge management software for most of the top 100 global law firms and the world's leading banks including HSBC, Citibank, Standard Chartered and China Bank.

VinciWorks prides itself on its ability to identify and develop solutions that address client-specific requirements within budget and on time.

Contact Us


The activities of the OCC are facilitated and managed by VinciWorks which has customer support offices in the United Kingdom, Hong Kong, and Australia and technical development and support in Jerusalem and Hyderabad. See our worldwide contact details below.

  1. United Kingdom

  2. Hong Kong

  3. Australia

  4. Israel

Links


These links provide further information on the OCC and associated organisations plus additional links concerning compliance, anti-money laundering and risk management.

OCC Technology Solutions


The right technology solutions don't happen by accident. The OCC collaborative approach allows VinciWorks (the OCC's development partner) to develop tools that help its clients ensure they get the solutions and services they need and want, on time and to budget.

What's New

Home


Risk Register/ Risk Management System: Final Beta Released to Core Group firms


The Online Compliance Consortium Risk Management System (OCC RMS) Final Beta version has been released to the RMS Core Firms including Bird & Bird, Mayer Brown, and Irwin Mitchell. Designed collaboratively the OCC RMS is intended to satisfy the regulated compliance needs of both national and international professional firms including the Solicitors Regulation Authority (SRA) and the Financial Services Authority (FSA).

The OCC RMS is a complete solution that enables Risk Managers, Compliance Officers, Compliance Officers of Legal Practice (COLP), Compliance Officers of Finance and Administration (COFA), and professional firms in general to comply with their Regulator's requirements relating to risk management, regulated compliance and outcomes-focused regulation. The RMS provides the tools to efficiently manage risk across the firm and demonstrate a firm's compliance with regulation.

OCC Outsourced Risk Management Register Creation and Management Service: Launched


The OCC Risk Management System (RMS) is designed to allow a Compliance Team to efficiently manage risk and demonstrated to Management and the Regulator how it is doing so. The RMS evidences and tracks the control procedures and related activities the firm has put in place offering dynamic reporting and a complete audit trail. Integrated with VinciWorks dynamically escalating communications, follow-up, alert, reporting and audit capabilities.

However, for many firms this is the first time they will have created a risk register and VinciWorks has been asked to establish a Risk Consulting Team to assist Compliance Officers in the building and maintenance of their Risk Register, Control Procedures, Compliance Plan and Compliance Gap Analysis.

Outcomes Focused Regulation Course: Released to all OCC


This new course introduces you to the Solicitors Regulation Authority's (SRA) Outcomes-Focused Regulation which came into effect in England and Wales on 6th October 2011. The OFR Course explores the new responsibilities that are placed on both law firms and individuals under OFR and highlights the differences between OFR and the old regulatory environment.

The course explains the SRA Handbook and Code of Conduct and the impact they will have on day-to-day life in a law firm.

This course has been developed by Bird & Bird, Clyde & Co, Debevoise & Plimpton, DLA Piper, Irwin Mitchell, Osborne Clarke, SNR Denton and Weil Gotshal & Manges working in collaboration with Bronwen Still and Tracey Calvert.

Bronwen held a senior post at the Law Society and SRA and led the team that drafted the Solicitors' Code of Conduct 2007 and the early drafts of the SRA Handbook 2011.T racey worked for the Law Society and the SRA for over 14 years where she had a number of roles including Senior Ethics Adviser with the Ethics Guidance Team and as a policy executive drafting key sections of the SRA Handbook.

Anti-Bribery Course 2011: Sublicenses approved for distribution to firm clients


The success of the OCC Anti-Bribery Course 2011 has been demonstrated by the requirement by several leading law firms to make this course available to their clients. The OCC has created a new sub-license model to suit the demand.

Designed to raise awareness of the most common issues relating to bribery and corruption that national and international businesses may face the course defines what constitutes bribery and corruption; outlines the consequences of bribery and corruption to individuals, organisations and countries; raises awareness of the part individuals can play in the global fight against bribery and corruption; examines key legislation and demonstrates how these laws can affect the day-to-day life of an individual working in any firm or company; and tests what has been learnt using interactive scenarios and a multiple choice course assessment.

The Anti-Bribery and Corruption Course contains a number of realistic audio and video scenarios, which speak to the day-to-day life of working people and show how easily bribery and corruption can occur. The course includes audio narration throughout and may include content customised to each firm's internal policies and procedures.

The Anti-Bribery and Corruption Course was written collaboratively by a group of 12 leading international law firms, and was designed and developed by VinciWorks. The firms are: Bird & Bird, Clyde & Co, Debevoise & Plimpton, DLA Piper UK, Hogan Lovells, Irwin Mitchell, Kirkland & Ellis, Mayer Brown, SJ Berwin, SNR Denton, Weil Gotshal & Manges and White & Case.

Client & Matter Inception Software: First High Level Specification Released


The initiative to develop a Client & Matter Inception Software solution that satisfies OCC member business requirements is gaining momentum as VinciWorks, the OCC software development partner completes the initial functional study and high level review with participating OCC members.

The scope of the first high level review was to review t existing 'Registration Desk' systems and processes, including primarily:


Conflict Checks

Purpose is to avoid conflict of interest and to ensure that the duty owed to all clients is not breached by accepting a New Matter or a New Client.

New Client & New Matter Opening

The Client is considered the person or legal persons (companies etc.) who instruct the firm and to whom the firm owe a duty of care; typically the person who serves to gain or lose by the advice provided. The Matter is the instruction, or scoped piece of work, that the Partner has been asked to undertake by the Client.

Anti-Money Laundering Checks

Checks made against a Client, carried out in accordance with local law and/or Registration Desk procedures.

SRA Accounts Rules Courses 2011: OFR Compliant Versions Released


All OCC Courses are being updated to ensure OFR compliance . This Solicitors Accounts Rules 2011 Course has been designed to assist staff not only with getting to grips with the basic principles of the Solicitors' Accounts Rules but also with the more detailed aspects of the rules that affect their day-to-day role. Remember that the details of the Rules and the associated responsibilities have changed following the implementation of Outcome Focused Regulation.