To: Hong Kong Academy of Law, 3Rd Floor, Wing on House, 71 Des Voeux Road Central, HK

Date : Monday, 25 September 2017 Language : English 12:00 noon – 1:00 pm Venue : TKP Conference Centre 1 CPD point Time : 23/F, Euro Trade Centre, * This course is an approved RME 21-23 Des Voeux Road Central, Points : elective course Hong Kong Free of Charge Elementary level, for delegates who do Fee : not have prior knowledge of the subject Level : area

Course objective:

To familiarize practitioners with some of the key risk issues affecting law firms.

About the course:

The course will cover the following issues:

 Introduction to law firm risk management  Common risk categories for law firms  Key risk areas specific to legal practice  Other risk and compliance issues  Some ways to manage risk

About the presenters:

Mr. Royce Miller, Partner, Freshfields Bruckhaus Deringer Ms. Adaora Oputa, Senior Risk and Compliance Lawyer – Manager Freshfields Bruckhaus Deringer

Mr. Royce Miller is a partner in the Hong Kong office of Freshfields Bruckhaus Deringer. He leads the firm's financial services practice in Asia. Prior to joining the firm at the beginning of 2010, Royce was at Citigroup in Hong Kong and Europe for 16 years, where he was most recently Managing Director and General Counsel for Citi’s institutional businesses across Asia. Royce has substantial experience in an extremely wide range of legal and regulatory issues relating to financial institutions and has recently advised various international banks, insurers, broker-dealers and fund managers on business sales, establishment, licensing, marketing, resolution and recovery planning, conduct of business and compliance issues. Royce was admitted in Hong Kong, Massachusetts and the District of Columbia. He has a Bachelor of Arts from Harvard College and a Doctorate of Jurisprudence from the New York University School of Law.

Ms. Adaora Oputa is a Senior Risk and Compliance Lawyer based in the Hong Kong office of Freshfields Bruckhaus Deringer. Adaora manages the Asia Legal Department providing risk management and compliance support to all areas of the business, and has previously worked in Freshfields’ London and New York offices as part of the Legal Department. With a keen focus on protecting the reputation of the firm, some of the key issues within her remit include dealing with business acceptance, conflicts of Interests, confidentiality, regulatory, ethics, anti money-laundering, and anti-bribery issues as part of the Firm’s wider risk management program. Adaora joined Freshfields in 2010 as a Trainee Solicitor after completing law school at BPP and gaining an LLM in Public International Law from the London School of Economics.

Enrolment Conditions: 1. Practitioners, who are subject to RME elective obligations, are allowed to attend one free RME elective within each practice year. If a practitioner is required to complete not less than 6 hours of RME elective course in the current practice year, he is allowed to enrol in the second elective as a paid course at a fee of $760 with a cheque made payable to “Hong Kong Academy of Law Limited” on a first-come-first-served basis. 2. Enrolments on free courses will be accepted on a first-come-first-served basis subject to priority being given to those who are subject to RME elective obligation and who have not attended an RME elective session before within the same practice year. 3. If a registrant cannot attend a booked free course, he must give the Academy at least one clear working day’s written notification of his intent to cancel (Saturdays are not treated as a working day) or he will be deemed to have attended the course for the purpose of Note 2 above. He is allowed to enrol in another elective as a paid course at $760 on a first-come-first-served basis. 4. Cancellation of a booked paid course: 1. If a registrant cannot attend a booked paid course, written notification must be received by the Academy at any time before the date of the booked course and then he may transfer, up to 3 times, his booking to another Academy course of same value within 6 months of his written notification. If he still cannot attend the booked course after he has utilised the 3 transfers of his booking, no further transfers will be allowed and the course fees paid will be forfeited. 2. Notice of cancellation of a booking must be given so that it reaches the Academy not less than 7 days before the date of the course and is subject to an administration fee of HK$100. Cancellations received less than 7 days will not be accepted - the registration fee will not be refunded. 3. Registration of a paid elective is not transferable to another delegate. 5. Only those who have been allocated a seat will receive a confirmation letter from the Academy. Those who have not received a confirmation letter from the Academy before the date of the course shall treat their registrations for the course unsuccessful. 6. Please click here for the CPD Attendance Policy which applies to those who wish to claim CPD points from the Law Society of Hong Kong. 7. Please click here for the Bad Weather Policy. 8. The Hong Kong Academy of Law reserves the right to alter the contents, speakers(s) or otherwise of this course, or cancel this course. Enrolment Slip:

Re: The Firm’s Risk Management, Monday, 25 September 2017 (E092517L)

To: Hong Kong Academy of Law, 3rd Floor, Wing On House, 71 Des Voeux Road Central, HK (Attention: Ms. Mandy Leung / Ms. Wanda Tong - Tel: 2846 0587 / 2846 0585; Fax: 2846 8801)

Name: Mr./Ms. (full name as on identity card or practising certificate or trainee solicitor contract)

Occupation: I am (please tick as appropriate) a Solicitor a Register Foreign Lawyer

Solicitor No / Register Foreign Lawyer No: Year of admission:

(if applicable) (if applicable)

Company/Firm: Position:

Address:

Email: Tel: Fax:

How many hours of RME electives are you required to complete in the current practice year? 3 hours 6 hours

Have you previously attended a free RME elective within the current practice year?

Yes. I have attended __ hour(s) of free RME elective(s) within the current practice year. No

I have read and accepted the Enrolment Conditions attached to the course flyer.

Signature: Date: Personal Information Collection Statement

The personal data collected in this Enrolment Form (“the data”) will be used by the Hong Kong Academy of Law Limited (“the Academy”) for the purposes of processing your application (“the Application”) to enroll in the Risk Management Education Programme – Elective Course (“RME course”), making logistical arrangements, compiling statistics and keeping records of your attendance, facilitating the applications for Continuing Professional Development and/or RME accreditation of such courses and other related matters. In making the Application, it is obligatory for you to supply to the Academy the data requested in this Enrolment Form except as otherwise indicated. The consequence for you if you fail to supply such data is that the Academy will not be able to process the Application. The data may be provided to such persons within the Academy whose proper business it is to have access to and assist in the processing of the Application and related matters. The data may also be provided to the Law Society of Hong Kong, the RME course facilitators / workshop leaders / presenters and other persons who may help the Academy in attaining the purposes above mentioned. Any data that is provided to anyone outside of the Academy will be restricted to what is necessary and not excessive to achieve any intended purpose. You have the right to request access to and correction of the data. Any such request should be addressed to the Company Secretary, Hong Kong Academy of Law, 3/F, Wing On House, 71 Des Voeux Road, Central, Hong Kong. The Privacy Policy Statement of the Academy is available on its website at http://www.hklawacademy.org