one-day ConFerenCe | 3 oCtoBer 2013 | London

re d fo n be t a 9 k u s 14 oo g B t Au e s v 1 sa

presents the 4th

COLP & COFA conference 2013

Practical approaches to ensure you make the right judgements

A one-day intensive conference designed to ensure you:
Explore potential material breach scenarios Spot patterns of non-compliance in your firm Find out what you need to know about data collection Develop confidence in your role Exchange approaches with your peers Practice making judgements and evidence based decisions Get an update from your regulator Engage your fee earners in compliance Gain credibility at Board level Develop an effective relationship between your COLP and COFA Plan for contingency and succession Understand how the new overseas rules will affect your firm
Expert contributions and strategic insights from:

+44 (0)20 7324 2365 events@ark-group.com www.ark-group.com or see back page for mailing details

A word from our chair...

As the SRA focuses on the risks presented by law firms and other legal services businesses, the roles of COLP and COFA are rapidly becoming of increasing importance. This conference examines how the COLP and COFA roles have developed over the past nine months, with practical advice from the Regulators and those on the frontline.

Rachel Khiara,
Partner, Khiara Law

4 easy ways to register

CONFERENCE

MORE INFO

WHY THIS EVENT?

CoFa perspectives
In addition to having extended the practical workshop element in response to your feedback, at Managing Partner we have also listened to your request to ensure greater COFA involvement in the programme. And so, as well as a dedicated session which will explore A day in the life of a COFA, other sessions will include both a COLP and COFA perspective.

Explore anonymised case studies of possible breach scenarios during our practical workshop, which has been extended by popular demand Hone your judgement skills with insight from our experienced speakers Exchange your thoughts on the best approach to take towards breach scenarios with those responsible for compliance in other law firms Discover, in a workshop setting, how to look for and identify patterns of non-compliance in your firm which may turn out to be material breaches Hear the latest guidance and industry announcements from your regulator All this with the central aim of giving you the confidence you need to carry out your role as COLP or COFA. Now, nine months in to the role, extensive research conducted by Managing Partner shows that the attention of many COLPs and COFAs is turning, as well, to the inter-personal elements of these multi-faceted roles. As COLP or COFA you are discovering that you must: Engage your colleagues in compliance Persuade your partners to make unwelcome decisions Gain credibility at a Board level in order to influence your senior management team and be included in strategic decisions as they happen Build an effective working relationship with your COLP or COFA counterpart and your deputy Manage your relationship with the regulator Gain buy-in from business support All of these topics will be covered in this intensive one-day conference, along with many others.

you are in good company

After three sell-out conferences, with over 180 attendees, Managing Partners COLP & COFA conference has become quickly established as the leading event for COLPs and COFAs and one at which the Solicitors Regulation Past event feedback Authority (SRA) has chosen to make key industry announcements Great content and case on each occasion. studies, encouraged a lot

of interaction. Jeremy Fowke, Dont miss out on this opportunity Squire Sanders to become a credible and marketleading Compliance Officer driving through a risk management approach that reduces your firms insurance premiums; safeguards and improves its reputation, and above all keeps your firm out of hot water. With the last three conferences having sold out, we would advise you to book your place as soon as possible.

Who should attend?

This conference is aimed at those who have taken on the COLP and COFA roles within law firms. It will also be suitable for COLPs and COFAs, such as Heads of Risk, Compliance and Compliance Lawyers those who do not hold the official title but who are effectively responsible for maintaining ethical and financial standards within their firms.

CPD information
Attendance at this conference qualifies for 6 hours of sra accredited Cpd (at intermediate/advanced level). To claim your hours, quote provider code: EEW/ARCL.

| TEL +44 (0)20 7324 2365 | E-MAIL events@ark-group.com

When you first agreed to take on the COLP role it is likely that you were primarily concerned with how to identify a material breach and when exactly to report it. With the official guidance largely suggesting that this will be a case of individual and intuitive judgement, following the move to outcomesfocused regulation (OFR), it is really not surprising that many COLPs and COFAs would prefer the reassurance of a clear framework that they could rely upon to assess each possible breach situation as it occurs in their Past event feedback firms, as well as the opportunity to Very good practical come together to share and assess guidance, good points different approaches. raised, balanced opinions. While it isnt possible to provide Wendy Wright, a blueprint set of rules for a Langleys Solicitors principles-based regulatory regime, Managing Partners 4th COLP & COFA conference has been designed to equip you to know a material breach when you see one by creating the ideal opportunity for you to:

A word from our chair...

As the SRA focuses on the risks presented by law firms and other legal services businesses, the roles of COLP and COFA are rapidly becoming of increasing importance. As the individuals tasked with ensuring regulatory compliance, and implementing systems and controls to ensure that this is the case, they will be responsible for the monitoring the risk indices within the SRAs Risk Framework. This conference examines how the COLP and COFA roles have developed over the past nine months, with practical advice from the Regulators and those on the frontline.

Rachel Khiara, Partner, Khiara Law

CONFERENCE

AGENDA
09:00 Registration and refreshments

THURSDAY 3 OCTOBER 2013

Building your team and adequate resources Gaining access to Board information to anticipate breach issues before they happen Engaging your colleagues communication techniques such as intranets, portals and handouts Getting feedback Being supportive to colleagues who are reporting breaches Gaining buy-in from business support Angela Robertson, General Counsel, Partner and COLP, Eversheds

09:30 Chairs opening remarks Rachel Khiara, Partner, Khiara Law INDUSTRY KEYNOTES AND ANNOUNCEMENTS

09:40 Keynote opening address | Building confidence in your role as a COLP or COFA Mike Haley, Director of Supervision, Solicitors Regulation Authority 10:10 A response from the Law Society What concerns are COLPs and COFAs raising? Will the Law Society support COLPs and COFAs? Practical (anonymised) examples of potential breach scenarios that have arisen and conclusions drawn Pearl Moses, Practice Lead Consultant: Risk and Compliance, Law Society 10:40 Morning coffee break PRACTICAL WORKSHOPS

15:20 Afternoon coffee break 15:50 PANEL | Developing an effective relationship between COLP and COFA, and your bank Guest speaking slot: A day in the life of a COFA Taking a risk based approach to banking relationships Spreading the risk managing client funds through a Treasury committee Assessing the impact of changes to bank terms and conditions Adopting SRA guidance preparing for and dealing with bank failure Is there a role for Banking Advisers to fulfil? Glyn Morris, Finance Director, Higgs & Sons 16:00 | PANEL DISCUSSION Relationships with auditors Maintaining the risk register and regularly reviewing your risks Ensuring that the COLP and COFA have a safe place to talk to determine what and when to report sounding boards, potential breach reports, safe harbours and external advice Creating a clear link between compliance and your bottom line (via professional indemnity insurance) Additional panelists including: Nick Lakhani, Finance Director, asb law Chris Bull, Executive Director, Kingsmead Square John Verry, Director of Risk, TLT

11:10 Extended practical workshop 1 | Identifying material breaches including questions of legal privilege This session has been extended due to popular demand. Your workshop leaders will walk you through a series of new, anonymised and fictitious case examples which represent situations that could easily arise in real law firms. In risk analysis, it is helpful to combine the views of several experienced professionals approaching complex situations from different perspectives to remove bias. Take this unique opportunity, not only to get practice at making your own judgements but also to understand how your peers might approach the scenarios differently. Andrew Cheung, Director of Compliance, Dentons Annette Fritze-Shanks, Head of Risk Management, Taylor Wessing 12:30 Networking lunch break 13:30 Practical workshop 2 | Evidence based compliance: Data collection and identifying patterns of non-compliance Data collection where to look and what to look for Exploring the link between compliance and human resources data and financial data Ensuring that your colleagues continue to report non-material breaches to you to help you identify patterns Deciding when a pattern becomes a material breach in and of itself Jane Jarman, Reader, Nottingham Law School, Nottingham Trent University Clare Richardson, Compliance Lawyer, Slaughter and May COLP AND COFA SYSTEMS

16:30 Managing performance: Succession planning and contingency arrangements for COLPs and COFAs Second generation issues; the Managing Partner as COLP or COFA The General Counsel as COLP?; how is this working in practice? The Finance Director as COFA Deputy COLPs and COFAs; developing an effective relationship with deputies Does the COLP need to be a partner/lawyer? Managing the performance of the COLP and COFA; how can this be assessed? Panelists include: Robert Farrant, Head of Risk Management, Mills & Reeve Nick Lakhani, Finance Director, asb law THE INTERNATIONAL PERSPECTIVE

14:30 Establishing effective and workable COLP and COFA systems Creating a living risk register Establishing ownership of risks Ongoing monitoring of your risks have they changed? Considering the benefits and limitations of file audits Karen Mitchell, Head of Compliance, Speechly Bircham BUILDING RELATIONSHIPS AND INFLUENCE

17:00 Responding to the new overseas rules The new SRA requirements Working to SRA rules versus applying global standards versus gathering information and then choosing what to report The relationship of the SRA with other regulators Controlling the use of your brand by foreign bodies Tracey Calvert, Director, Oakalls Consultancy 17:20 Chairs closing remarks 17:30 Close of conference

14:50 Influencing your Board, your colleagues and working with your SRA regulatory manager Becoming a visible, respected and credible individual in your firm Ensuring you have the requisite authority to report breaches

| WEB www.ark-group.com | OR see back page for mailing details

CONFERENCE 3 OCT 2013 LONDON

COLP & COFA conference 2013

BOOKING REF: 1969-13b

Book Your Place Now

one-day conference only 745+Vat
speCiaL oFFer
Your firms COLP and COFA can both attend this event for the joint price of 1245+VAT (a saving of 245). Early booking disounts still apply.

onLine e-MaiL

www.ark-group.com

earLy BooKing disCoUnts

events@ark-group.com

20% 15% 10%

off this event when you book before 1 AUGUST 2013, making the event 596+VAT. off this event when you book before 30 AUGUST 2013, making the event 633+VAT. off this event when you book before 12 SEPTEMBER 2013, making the event 670+VAT.

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Also from
Law Firm Management Reports
2nd edition

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Special offer from Managing Partner

June 2013 Volume 15 Issue 9 www.managingpartner.com

CoLp and CoFa: Compliance in practice (2nd edition) Bronwen Still and Tracey Calvert
De-mystifying the roles and offering practical support, this report will help COLPs and COFAs to identify and meet the SRAs requirements and use their position to maximum benefit. The 2nd edition has been fully updated to include advice on: The responsibilities of the COLP and COFA; How these roles might fit into the management structure; What a compliance plan should contain; What taking all reasonable steps to ensure compliance means; Reporting non-compliance and what material non-compliance might include; The relationship between the SRA and the COLP and COFA; and The SRAs new approach to risk and its supervision regime. Youll also find new case studies and commentaries on: The challenges being faced by COLPs and COFA in practice; The similarities to the MLRO role; The nuts and bolts of compliance; The early experiences of a COLP of an ABS; and The reporting accountants perspective.

COLP and COFA: Compliance in Practice

BRONWEN STILL AND TRACEY CALVERT

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