re nd fo a be ry 9 k ru a 1 4 oo b B Fe e th av 15 s
Arm yourself against the personal and business risks that you are exposed to in your new role
A highly practical one-day intensive conference:
Get the latest guidance from the SRA and The Law Society, who made key announcements at both of our previous events Bring hypothetical breach scenarios with you and receive personal advice from your keynote speakers during our extended Q&A Benefit from a heavyweight speaker panel, featuring Risk Directors from many of the UKs largest law firms Know how to identify a material breach attend our practical workshop to benchmark your response to case scenarios Decide when you should report a breach, and when you shouldnt Get support from others performing the same role Determine whether you have sufficient budget and resources for your role Put effective compliance systems, controls and training in place Identify and mitigate risks arising from your international networks
Expert contributions and strategic insights from:
+44 (0)20 7549 2535 events@ark-group.com www.ark-group.com Or see back page for mailing details
CONFERENCE
MORE INFO
Your appointment as the Compliance Officer for Legal Practice (COLP) or Compliance Officer for Financial Administration (COFA) has been approved by the Solicitors Regulation Authority (SRA) and you have laid down careful preparations for your role and read through all of the regulators guidance notes so that you are ready to hit the ground running. But with any new role, there are bound to be practical issues that will only bring themselves to the fore once you have begun the role in earnest. Are you sure about what constitutes a material breach and what doesnt? Do you know what to report and when? What happens when you disagree with senior management? Do you have enough budget and enough resources to perform your job effectively? Any role within compliance or enforcement in a law firm is likely to be a lonely one at times, especially with fee earners having financial incentive to ignore due diligence during undeniably difficult market conditions.
Based on feedback from our 2012 events, the conference format has been re-worked to include a greater number of discussion panels, giving you the opportunity to hear from more experts at once and to share your own thoughts and questions from the floor, as you work your way through the implementation hotspots together.
Awareness of best practice and the issues being addressed by practitioners. Mark Coker, Vinson & Elkins
We understand that the identification of material breaches remains one of the biggest unresolved issues for many of those taking up the COLP and COFA roles. So we are delighted to include, for the first time, a practical workshop session run by two senior risk practitioners which will explore, through a series of case scenarios, the key trigger points for reporting
CPD information
Attendance at this conference qualifies for 5 hours, 30 minutes (COLP) and 6 hours (COFA) of SRA accredited CPD (at intermediate/advanced level). To claim your hours, quote provider code: EEW/ARCL.
CONFERENCE
AGENDA
09:00 09:30 09:40 Registration and refreshments
Chairs opening remarks Rachel Khiara, Partner, Khiara Law UPDATED REGULATORY GUIDANCE KEYNOTE | Supporting risk-based and firm-wide compliance: A view from the Solicitors Regulation Authority Samantha Barrass, Executive Director Supervision, Risk, Education and Training and International Affairs, Solicitors Regulation Authority KEYNOTE | The new regime: Raising standards Pearl Moses, Practice Lead Consultant: Risk and Compliance, The Law Society
10:10
14:30
10:40
EXTENDED KEYNOTE Q&A Participants are invited to bring with them... 1. Scenarios that they have encountered in their firms or 2. Hypothetical situations that they are uncertain about ...in order to find out from Samantha Barrass and Pearl Moses how these incidents should be tackled, whether or not they should be reported and if so, when. 11:00 11:30 Morning coffee break 15:10 PRACTICAL IN-ROLE GUIDANCE 15:40 PRACTICAL WORKSHOP | Identifying material and immediately reportable breaches Participants will be presented with a number of different breach scenarios and will have the opportunity to discuss these on their tables in relation to the guidance on material breaches and criteria issued by the SRA. Delegates will then have the opportunity to feed their answers back to the workshop facilitator as part of a floor discussion concerning these cases. Additionally this session will look at questions such as: Is an issue with a supervision failure at heart necessarily a material breach? Given the personal obligation for individuals to report to the SRA, can you have a reporting policy that requires staff to report internally first? How do you manage reporting allegations of discrimination, harassment or bullying? Is it different if these are made against a Partner or senior manager? When do you get to a systemic failure? When you report to the SRA what do you report and what do you hold back can and when does privilege operate? Co-facilitators: Andrew Cheung, Director of Compliance, Dentons and Annette Fritze-Shanks, Head of Risk Management, Taylor Wessing Knowing when to report a breach You have established that you may have a material breach on your hands and you know that the SRA advice is that you should report it to them as soon as practicable but what about the internal considerations? Sources of information about incidents Systems and controls to support the COLPs monitoring obligations, including recording incidents and breaches Establishing whether or not you are dealing with a material breach Seeking internal and external advice Should you approach your Managing or Senior Partner (or the Firms Board) before you report? Avoiding internal strife e.g. arbitration what do you do if your firms management or others within the firm disagrees with you? Reputational issues Whistleblowing Robert Farrant, Head of Risk Management, Mills & Reeve Networking lunch break
16:20 16:30
12:10
17:00
12:50
ONLINE E-MAIL
www.ark-group.com
events@ark-group.com
off this event when you book before 15 FEBRUARY 2013, making the event 596+VAT. off this event when you book before 8 MARCH 2013, making the event 633+VAT. off this event when you book before 22 MARCH 2013, making the event 670+VAT.
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