2

Two-day conference
1-2 December 2010, London To claim your CPD hours for this event, please quote: ANS/ARCO
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Managing Partner Events presents the 7 annual th

Risk management for law firms

Defend your firm against strategic and operational risk

The UK's leading legal risk event

A two-day conference that will ensure you:
» Identify the changes you’ll need to implement to stay out of trouble with the regulator
» Drive a change in your firm’s culture to ensure your lawyers adhere to the new rules
» Know what not to do by learning about: a) high profile law firm insolvency cases
and b) current claims activity
» Find out how much protection an LLP status gives to its members in cases
of insolvency
» Learn what you need to do to comply with the Bribery and Corruption Act
» Anticipate problems with your partners and benefit from best practice in supervision
» Discover what other firms are doing to monitor for compliance and what the
regulator will expect going forward
» Protect your lawyers from activity which could land them in trouble with the US courts

Featuring presentations from: A quote from your Chair:

What the regulatory changes
mean for the profession
Des Hudson,
Chief Executive,
the Law Society
"
Moving to an outcomes-
based regime This is a must-attend event for
Samantha Barrass, Risk Directors and Risk Partners
Executive Director of from large and medium sized
Regulation, Solicitors law firms to get a comprehensive
Regulation Authority update, in just two days, on the
current strategic and operational
risks affecting legal practice.

»
»
And...
Taylor Wessing LLP
Thomas Eggar LLP
»
»
Huron (UK) Ltd
Linklaters LLP Frank Maher, Partner,
"
» Berwin Leighton Paisner LLP » Simmons & Simmons Legal Risk LLP
» Wilsons Solicitors LLP » Serle Court
» Ashfords LLP » Barlow Lyde & Gilbert LLP
» Addleshaw Goddard LLP » Bevan Brittan LLP
» Reynolds Porter Chamberlain LLP » Clifford Chance LLP
» Denton Wilde Sapte LLP

Researched by: Sponsored by: Media Partner:

5 easy ways to register

Tel: +44 (0)20 7566 5792 E-mail: events@ark-group.com Web: www.ark-group.com Fax: +44 (0)20 7324 2373 Or see back page for mailing details
AGENDA
DAY ONE - Wednesday 1 December 2010
09:00 Registration and refreshments
09:30 Chair’s opening remarks
Frank Maher, Partner, Legal Risk LLP
THE REGULATOR’S VIEW
09:40 KEYNOTE: Moving to an outcomes-based regime
»» Presenting the vision behind Outcomes Focused Regulation (OFR)
»» Reviewing the new Solicitor’s Handbook in its draft stages
»» How will the SRA be staffed to enforce rules regarding financial
viability and the monitoring of business plans?
»» What are the implications of the draft Code for client take-on?
»» Understanding conflicts and OFR
»» Managing risk and compliance in an Alternative Business
Structure (ABS)
Samantha Barrass, Executive Director of Regulation, Solicitors
Regulation Authority (SRA)
THE INSURER’S VIEW
10:20 Determining the current state of the professional indemnity
insurance market and procedures
»» What happened at professional indemnity insurance renewal in
October 2010? How many firms did not get insurance?
»» What do the underwriters anticipate will happen with the Assigned
Risks Pool (ARP), will it impact on law firm premiums?
»» Staggered insurance renewal: Do insurance companies think this
will help?
»» Are new minimum terms and conditions and a reduction in cover
terms likely to come into play?
»» FLOOR DISCUSSION: How did you do at the October 2010
insurance renewal?
Colin Taylor, Director/Head of Risk Management, Prime Professions
11:00 Morning coffee break
IMPLEMENTING REGULATORY CHANGE
11:30 The draft Solicitor’s Handbook: What will it mean for your firm?
»» Some open issues
»» Explaining the changes to your management board, partners and staff
»» Outcomes, indicative behaviours and guidance: What do they mean
in practice?
»» Converting the Handbook into reality
»» Establishing new procedures for your firm
»» How will you know whether you are compliant?
»» Implementation hotspots
Martin Baker, Risk Management Partner & MLRO, Taylor
Wessing LLP
12:10 Managing change: Ensuring that your lawyers adhere to the new
processes and rules
»» Making risk management an integral part of everything you do in
your firm
»» Drivers to encourage adherence
»» Generating a change in firm culture to ensure that new ways of
working are quickly assimilated
Martin Cross, Risk Partner, Thomas Eggar LLP
tel: 020 7566 5792
12:50 Pre-lunch address by Kaye Sycamore, Managing Director, UK, IntApp
13:00 Networking lunch break
14:00 The role of the Risk Manager: Establishing the role of the
Compliance Officer for Legal Practice (COLP)
»» Understanding the purpose of the COLP role within the outcomes
focused regulatory regime
»» Deciding who should become the COLP: Your Risk Director/Partner
or your Managing Partner?
»» What is the scope of the COLP’s responsibilities?
»» What is required to discharge the obligation to report breaches?
»» What arrangements are required to enable the COLP to discharge their
responsibilities? How can a compliance regime support the COLP?
»» What cultural and/or structural organisation impacts will the COLP
role have on law firms going forward?
Nicole Bigby, Head of Risk, Berwin Leighton Paisner LLP
14:40 Reviewing supervision within law firms in the light of
regulatory change
»»How does the new draft Code of Conduct change law firm supervision?
»»Will the new COLP role change the level of supervision that is needed?
»»Supervising legal work and the law firm business
»»Supervising your partners: Why supervising partners is more
important than supervising junior fee-earners
Andrew Wiltshire, Risk Director, Wilsons Solicitors LLP
15:20 Afternoon coffee break
MANAGING YOUR PARTNERS
15:50 Know your partners: How to anticipate and prevent a partner
landing you in trouble with the regulator
»» Dealing with the risks that arise as law firms change
»» Managing the conflicts that arise due to generational change,
lawyer aspirations and people just not talking to each other
»» Self-reporting: When to report that you suspect your partners have
been dishonest or are taking on work that they shouldn’t have or are
unable to complete
»» Conducting due diligence checks when taking on lateral hires and
the work they bring with them
George Wilkinson, Partner, Ashfords LLP
MONITORING MECHANISMS
16:30 PANEL AND FLOOR DISCUSSION: Monitoring for compliance
»» Discussing the implications of SRA rule changes on monitoring
within a law firm
»» Do you currently monitor in your firm? How?
»» Reviewing file audits as a specific monitoring method
»» Comparing the cost implications of the different monitoring methods
Juliet Tainui-Hernandez, Director of Risk, Addleshaw Goddard LLP
Graham Reid, Legal Director, Reynolds Porter Chamberlain LLP
Andrew Cheung, Director of Compliance, Denton Wilde Sapte LLP
17:00 Chair’s closing remarks
17:15 Drinks reception sponsored by IntApp
fax: 020 7324 2373 e-mail: e
 DAY TWO - Thursday 2 December 2010
09:00 Registration and refreshments
09:30 Chair’s opening remarks
Frank Maher, Partner, Legal Risk LLP
LAW FIRM BUSINESS MANAGEMENT
09:40 KEYNOTE: Identifying key risks from high profile law firm failure
case-studies: What not to do
» Is there a single risk factor that leads to the downfall of a law firm, or
is it a combination of several risks that causes a collapse?
» Which risks could have been avoided? Which risks are safe to ignore?
» Understanding the influence of banks on law firms (and how this
relates to the Code of Conduct rules on independence)
» What current financial risks are firms facing in the UK?
Alan Hodgart, Managing Director, Huron (UK) Ltd
THE REPRESENTATIVE BODY’S VIEW
10:20 KEYNOTE: What the regulatory changes mean for the profession
» Accountability of the profession: To principles or people?
» Outcomes Focused Regulation: Our thoughts on impact and timetable
» Alternative Business Structures: The regulatory landscape
» Professional Indemnity Insurance: SRA review, outcome of renewals
and options for different approaches
» Anti Money Laundering Regulations: What has changed?
» The impact of the Bribery Act
» What the Law Society is doing to help the profession manage
these changes
» FLOOR DISCUSSION: Representing the legal profession effectively;
what concerns do law firm risk managers have that they would like
the Law Society to raise for them?
Des Hudson, Chief Executive, the Law Society
11:00 Morning coffee break
ANTI-MONEY LAUNDERING
11:30 Grappling with Anti-Money Laundering regulations: Ironing out
continuing issues
» Anti-Money Laundering reporting: Recent developments
» Applying due diligence and enhanced due diligence: What do they
really mean?
» Ongoing monitoring and reputational risk
» Recent sanctions developments: A brief overview
» What does the new Code of Conduct mean for Client Due
Diligence (CDD)?
Aoife O’Reilly, Head of Anti-Money Laundering, Linklaters LLP
LEGISLATIVE UPDATE
12:10 Understanding the implications of the forthcoming Bribery and
Corruption Act as a supplier of legal services and as a business
» Explaining the new legislation to your clients: What does it mean
for them?
» Understanding what you need to do as a law firm to comply with the
new law
» Reviewing gifts and hospitality policies
events@ark-group.com web: www.ark-group.com
» Educating your lawyers on the new rules
Claire McLeod, Managing Associate, Simmons & Simmons
12:50 Networking lunch break
INSOLVENCY AND CLAIMS
13:50 LLPs in hard times: How limited is your liability?
» Claims by a liquidator against LLP members and how to avoid them
» Claims by clients against LLP members and how to limit their likelihood
» Collateral claims by creditors against LLP members
» Other sanctions associated with insolvency
Jennifer Haywood, Barrister, Serle Court
14:30 Managing future risk based on current claims activity
» Are we seeing an increase in claim activity?
» Where are the claims now coming from?
» Is there a "log jam" of claims waiting to break?
» The impact of the financial crisis and the recession
» Exposures arising from the increase in fraud
» Claims impact of increased regulatory scrutiny
» How do we identify future claims trends in time to manage risk now?
Andrew Horrocks, Partner, Barlow Lyde & Gilbert LLP
15:10 Afternoon coffee break
QUALITY MANAGEMENT MECHANISMS
15:40 Managing quality: Turning round a supertanker; An International
Organisation for Standardisation (ISO) journey
» Obstacles to progress
» Particular issues that arise with different standards
» When should standards reflect culture, and when should standards
be used as a tool for change?
» Practical tips and learning points from an ISO journey
Sarah Mumford, Partner, Director of Risk, Bevan Brittan LLP
A TRANSATLANTIC VIEWPOINT
16:20 KEYNOTE: Educating non-American lawyers on some unfamiliar
risks arising from the litigious culture of the US and the far reach
of US law
» Civil claims
» Criminal investigations
» Extradition
Chris Perrin, Executive Partner/General Counsel, Clifford
Chance LLP
17:00 Chair’s closing remarks
17:15 Close of conference
 WAYS TO REGISTER
Risk management Two-day conference 1. Tel: +44 (0)20 7566 5792
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