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Risk and Compliance for Law Firms 29-30 January 2019

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www.riskandcomplianceforlawfirms.com Agenda

Tuesday 29 January 2019 – RISK DAY ONE 09.00 – 9.30 Registration and coffee 13.45 – 14.25 Arrivals & Departures – Risk considerations 9.30 – 09.40 Chair’s opening comments • How far should you know your employees? Colin Taylor, Partner, JLT Specialty • Lateral hire due diligence • GDPR - is it a game changer? 9.40 – 10.20 Keynote address • Practical steps to mitigate risk • Introducing the new SRA Handbook • Objectives, purpose, scope Sarah Mumford, and Legal Risk & Compliance Specialist • Account rule 14.5, client money update

Chris Handford, Director of Regulatory Policy, 14.25 – 15.00 The European Insurance Distribution Regulation Authority Directive: new risks, new challenges • What does it mean? What does it replace? 10.20 – 11.00 Law Society response to the SRA • Enhancements • What the SRA handbook means for the legal sector • Professional and organisational requirements • How will reserved and non reserved work free up solicitors’ • Conduct of business, information, client demands and needs capacity? • The bigger picture - why financial services compliance • Managing the risk and compliance process well – what matters to you and your does good look like now? Tracey Calvert, Director, Oakalls Consultancy Pearl Moses, Head of Risk and Compliance, Law Society

15.00 – 15.35 Outlook for risk and compliance: 11:00 Morning networking break process and preparations • Where does risk and compliance add value in the future? 11.20 Panel discussion: SRA Handbook the practical considerations • Promoting and expanding your competencies • How solicitors can adapt and prepare for the new Handbook • Incentivising good conduct and individual accountability • Reviewing processes, standards and ethics • Advanced certification in legal compliance • Implementation and measuring change Tracey Calvert, Director, Oakalls Consultancy Panelists Pearl Moses, Head of Risk and Compliance, The Law Society Alison Matthews, Director of Quality and Risk, Shoosmiths 15:35 – 16:00 Afternoon break Elizabeth Davies, Risk & Compliance Lawyer, Sarah Mumford, Solicitor and Legal Risk & Compliance Specialist 16:00 – 16:45 Rule 14.5 – Client money Julia Adams, Head of Compliance, Slaughter and May • Seeking clarity and the room for debate • Identifying and drawing up boundaries 12.00 – 12.45 Professional Indemnity Insurance • Interpreting the SRA’s August statement – times they are a changing Richard Coleman QC, Fountain Court • Lloyd’s Thematic review • SRA PII consultation update 16:45 -17:00 Closing comments • Key risks – underwriters views of what is important Colin Taylor, Partner, JLT Specialty Colin Taylor, Partner, JLT Specialty 17:00 End of day one 12.45 – 13.45 Networking lunch Wednesday 30 January 2019 – COMPLIANCE DAY TWO 09:00 – 09:30 Registration and coffee 13:00 – 14:00 Networking lunch

09:30 – 09:40 Chair’s opening comments 14:00 – 14:45 SQE panel: compliance and risk Colin Taylor, Partner, JLT Specialty challenges • Quality control, league tables 09:40 – 10:25 Dealing with the SRA’s widening • Managing costs, recruitment scope of interest • Looking forward: What are the timescales? • What are the risk and ethical issues involved in sexual Moderator misconduct allegations and NDAs? Jenny Pelling, Director of Business and Apprenticeships, • Where is the boundary between professional and private life? CILEx Law School • How does this apply to the SRA’s reporting obligations under the new Code? Panelists James Wilson, Emerging Talent Business Partner, Eversheds Iain Miller, Partner, Kingsley Napley Sutherland Louise Dack, Training and Development Manager, 10:25 – 11:10 AML update, essentials and current Sintons LLP developments Jason Wainwright, Managing Partner, Muckle LLP • Developments in the FATF Mutual Evaluation • Thematic reviews – what’s the latest? 14:45 – 15:30 Conflicts of interest • The essentials on an inspection audit obligation. • Complex city conflicts Sue Mawdsley, Partner, Legal Risk • International law firm issues Jane Hibberd, Compliance & Ethics Attorney, Latham & 11:10 – 11:40 Network break Watkins 11:40 – 12:25 Finding the compliance officer of Paul Brophy, Head of Conflicts, tomorrow • What are the regulatory and technology challenges? 15:30 – 16.00 Afternoon break • The essential support and training for the new compliance 16:00 – 16:50 GDPR panel – compliance update officer • E-privacy regulations: legislative update • What are the skills of the future? • Transmitting special catalogue data • How does the compliance officer future proof themselves? • Risk and compliance challenges Moderator • Industry best practice Matt Moore, Compliance Advisor, Infolegal Moderator: Panel discussion Kate Burt, Senior Compliance Manager, Legal Eye Amanda Norton, Compliance Manager, Beale & Panelists Company Solicitors LLP William Richmond-Coggan, Partners, Pitmans 12:25 – 13:00 Sanctions and CDD due process James Tarling, Partner, Ashtons Legal • Understanding the importance of the 2018 legislation 16:50 – 17:00 Closing comments • Focussing on the key features: purpose and designation by description Colin Taylor, Partner, JLT Specialty • Managing the expanded reporting obligations, heavier 17:00 End of conference penalties Dr Anna Bradshaw, Partner, Peters & Peters How to book Sponsorship & Exhibition Full rate for both days: £1,145 + VAT Bespoke opportunities are available to Please note that prices are per delegate promote your company as a prominent and include all day access to the event, brand within the legal sector, giving lunch and refreshment. a platform to demonstrate thought leadership, showcase services and Fees do not include travel costs or generate leads. accommodation.

For delegate enquires please For sponsorship and exhibition enquries, contact Frazer Kennedy on please contact David Boore on +44 (0)207 549 8614 or email +44 (0)20 7324 2372 or email [email protected]. [email protected]

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