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    The past two years have seen unprecedented change in the regulatory landscape in which law firms operate. Whilst outcomes-focused regulation (OFR) and preparing for the new compliance officer roles may have stolen the limelight in recent times, there are a number of other crucial compliance updates and changes that you simply can't afford to overlook. This two-day must-attend conference brings together law firm compliance and risk professionals, to share challenges, best practice and guidance on the key areas of compliance you find challenging. The introduction of OFR has seen many changes to the way that law firms monitor quality and compliance, report problems and manage conflicts. With the reporting obligations of the COLP and COFA due to come into effect in October, you can’t afford to be complacent in ensuring you have the systems and processes in place to manage and support this. Hear how TLT has developed a bespoke risk register to ensure compliance and assist in the smooth achievement of the COLP's reporting obligations. Many firms are exploring governance and how the risk team should be positioned to best support compliance and the new compliance officer roles. Hear how Danish firm Bech-Bruun centralised its risk department to regain control over client intake procedures. And engage with our panel of experts, including Berwin Leighton Paisner, Bevan Brittan and Burges Salmon, as they thrash out the challenge of where best to position the risk team in light of OFR. Our expert speakers will also provide you with the latest information in the wider business compliance arena, including guidance on money laundering compliance and experiences so far with the recently introduced Bribery Act. There are changes on the horizon relating to data protection rules, with many high profile cases where companies have failed to comply. Ensure your firm doesn't land in hot water due to oversight in essential areas for compliance. Whilst the best course of action is prevention, unfortunately this cannot always be the case, and how a breach or crisis is handled is critical to preventing further reputational damage, as recent coverage in the legal press has shown. Our practical session on tackling fraud in law firms provides you with clear guidance on the best approach to take should you find your firm in this unfortunate position. A law firm's reputation is one of the strongest tools it possesses in its business development arsenal, and any damage to this can have severe consequences – a heavy load to bear for those responsible for the risk and compliance function. This essential compliance update will assist you in managing the range of compliance issues facing your firm, guide you on best practice and provide you with the platform to voice your concerns and gain reassurance that you are on the right tack. If you are involved in the risk and compliance function of your law firm then you simply can't afford to miss out on this must-attend conference, exploring key areas of compliance change.

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    The past two years have seen unprecedented change in the regulatory landscape in which law firms operate. Whilst outcomes-focused regulation (OFR) and preparing for the new compliance officer roles may have stolen the limelight in recent times, there are a number of other crucial compliance updates and changes that you simply can't afford to overlook. This two-day must-attend conference brings together law firm compliance and risk professionals, to share challenges, best practice and guidance on the key areas of compliance you find challenging. The introduction of OFR has seen many changes to the way that law firms monitor quality and compliance, report problems and manage conflicts. With the reporting obligations of the COLP and COFA due to come into effect in October, you can’t afford to be complacent in ensuring you have the systems and processes in place to manage and support this. Hear how TLT has developed a bespoke risk register to ensure compliance and assist in the smooth achievement of the COLP's reporting obligations. Many firms are exploring governance and how the risk team should be positioned to best support compliance and the new compliance officer roles. Hear how Danish firm Bech-Bruun centralised its risk department to regain control over client intake procedures. And engage with our panel of experts, including Berwin Leighton Paisner, Bevan Brittan and Burges Salmon, as they thrash out the challenge of where best to position the risk team in light of OFR. Our expert speakers will also provide you with the latest information in the wider business compliance arena, including guidance on money laundering compliance and experiences so far with the recently introduced Bribery Act. There are changes on the horizon relating to data protection rules, with many high profile cases where companies have failed to comply. Ensure your firm doesn't land in hot water due to oversight in essential areas for compliance. Whilst the best course of action is prevention, unfortunately this cannot always be the case, and how a breach or crisis is handled is critical to preventing further reputational damage, as recent coverage in the legal press has shown. Our practical session on tackling fraud in law firms provides you with clear guidance on the best approach to take should you find your firm in this unfortunate position. A law firm's reputation is one of the strongest tools it possesses in its business development arsenal, and any damage to this can have severe consequences – a heavy load to bear for those responsible for the risk and compliance function. This essential compliance update will assist you in managing the range of compliance issues facing your firm, guide you on best practice and provide you with the platform to voice your concerns and gain reassurance that you are on the right tack. If you are involved in the risk and compliance function of your law firm then you simply can't afford to miss out on this must-attend conference, exploring key areas of compliance change.

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    1293 12 Compliance

    Uploaded by

    Ark Group
    The past two years have seen unprecedented change in the regulatory landscape in which law firms operate. Whilst outcomes-focused regulation (OFR) and preparing for the new compliance officer roles may have stolen the limelight in recent times, there are a number of other crucial compliance updates and changes that you simply can't afford to overlook. This two-day must-attend conference brings together law firm compliance and risk professionals, to share challenges, best practice and guidance on the key areas of compliance you find challenging. The introduction of OFR has seen many changes to the way that law firms monitor quality and compliance, report problems and manage conflicts. With the reporting obligations of the COLP and COFA due to come into effect in October, you can’t afford to be complacent in ensuring you have the systems and processes in place to manage and support this. Hear how TLT has developed a bespoke risk register to ensure compliance and assist in the smooth achievement of the COLP's reporting obligations. Many firms are exploring governance and how the risk team should be positioned to best support compliance and the new compliance officer roles. Hear how Danish firm Bech-Bruun centralised its risk department to regain control over client intake procedures. And engage with our panel of experts, including Berwin Leighton Paisner, Bevan Brittan and Burges Salmon, as they thrash out the challenge of where best to position the risk team in light of OFR. Our expert speakers will also provide you with the latest information in the wider business compliance arena, including guidance on money laundering compliance and experiences so far with the recently introduced Bribery Act. There are changes on the horizon relating to data protection rules, with many high profile cases where companies have failed to comply. Ensure your firm doesn't land in hot water due to oversight in essential areas for compliance. Whilst the best course of action is prevention, unfortunately this cannot always be the case, and how a breach or crisis is handled is critical to preventing further reputational damage, as recent coverage in the legal press has shown. Our practical session on tackling fraud in law firms provides you with clear guidance on the best approach to take should you find your firm in this unfortunate position. A law firm's reputation is one of the strongest tools it possesses in its business development arsenal, and any damage to this can have severe consequences – a heavy load to bear for those responsible for the risk and compliance function. This essential compliance update will assist you in managing the range of compliance issues facing your firm, guide you on best practice and provide you with the platform to voice your concerns and gain reassurance that you are on the right tack. If you are involved in the risk and compliance function of your law firm then you simply can't afford to miss out on this must-attend conference, exploring key areas of compliance change.

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    of 4

    TWO-DAY CONFERENCE | 22-23 MAY 2012 | LONDON

    re d fo an be h 9 k rc 2 4 oo a B th M e v 30 sa

    presents the 5th

    Compliance for law firms


    In partnership with:

    Critical guidance to steer your rm through the changing regulatory landscape Essential knowledge to drive compliance in your firm:
    Key tools to benchmark your firms compliance programme Safeguard your firm from prosecution through clear guidance on the latest changes and development in data protection Construct an effective compliance plan for both national and international offices Hear the SRA share its plans for how relationship management will work Get to grips with the major compliance challenges facing law firms in the new regulatory landscape Constructive discussion exploring the positioning of the risk and compliance function within your firm Advance the compliance culture in your firm A not-to-be-missed opportunity to share best practice and experiences

    Expert contributions from across the legal sector:

    Compliance for law firms provides risk and compliance teams with essential guidance, insights and latest developments to ensure their firm is compliant with the changing regulations Matt Moore, Director, Web4Law

    Researched by:

    Sponsored by:

    4 easy ways to register

    +44 (0)20 7566 5792 events@ark-group.com www.ark-group.com Or see back page for mailing details

    CONFERENCE

    AGENDA
    09:30 Chairs opening remarks

    TUESDAY 22 MAY 2012


    12:50 Pre-lunch address Kaye Sycamore, Managing Director, UK, IntApp

    09:00 Registration and refreshments

    Andrew Cheung, Director of Compliance, SNR Denton Planning foR comPliance 09:40 Constructing a fit for purpose compliance programme Getting the architecture right alternatives to traditional manuals Listing the contents the Authorisation Rules and the tick box approach to the Code of Conduct External standards ISO 9001 and Lexcel are they worth the effort? Integrating the more specialist standards information security, environmental and others Communicating and engaging Matt Moore, Director, Web4Law 10:20 CASE STUDY: Setting up a new office in a new market: Lessons learnt from international expansion Aligning your market and non-market strategy in entering a new market Considering your firms options and positioning, particularly in relation to a changing regulatory environment Key considerations for structural, regulatory, organisation design Examining the landscape for change under outcomesfocused regulation Moving from set-up to integration managing the challenge of a new business Regulatory and compliance challenges and lessons learnt Nicole Bigby, Head of Risk, Berwin Leighton Paisner 11:00 morning coffee break comPliance Tools 11:30 Information security, ethical walls and information barriers in a mobile world iPads, tablets and mobile technology are these tools really transforming the way we work? Exploring the legal principles that need to be applied to information barriers in general Determining the firms obligation to support these tools Dos and donts to supporting and managing the technology in your firm and how best to approach this Iain Miller, Partner, Bevan Brittan 12:10 Data protection for law firms Overview of the latest changes and developments on the horizon Key areas for data protection compliance challenges in law firms Practical tips to ensure compliance at your firm Effectively handling a data breach incident Rosemary Jay, Senior Attorney, Hunton & Williams

    13:00 networking lunch break 14:00 Overview of the Bribery Act one year on Exploring the impact on law firms Overview of recent bribery cases and prosecutions Training your workforce effectively and keeping the message fresh Best practice and compliance Philip Somarakis, Partner, Davenport Lyons comPliance culTuRe 14:40 Ensuring compliance in the new regulatory landscape through effective training Building a bespoke training regimen for your firm Identifying key training needs Exploring how best to track training and ensure compliance competency based or certified Common challenges and lessons learned from our vast experience Bill Howarth, CEO, International Compliance Association 15:20 afternoon coffee break 15:50 Rogue partners: Mopping up the mess Formulating a strategy to address legal and compliance issues Dealing with the SRA Dealing with clients Accounts LLP and partnership issues Frank Maher, Partner, Legal Risk 16:30 PANEL: Compliance culture, training and managing the role of trusted adviser and policeman Instilling a culture of compliance in your firm and gaining essential buy-in Ensuring both lawyers and support staff are alert to possible breaches Establishing clear guidance on best practice for reporting should something suspicious arise Balancing act your role as trusted adviser versus your reporting obligations Panellists include: Anne Avery, Risk and Compliance Lawyer, Berwin Leighton Paisner Sarah Lucey, Senior Risk & Compliance Lawyer, Addleshaw Goddard 17:10 Chairs closing remarks 17:20 close of day one and drinks reception sponsored by IntApp

    | TEL +44 (0)20 7566 5792 | E-MAIL events@ark-group.com

    CONFERENCE

    AGENDA
    09:30 Chairs opening remarks

    WEDNESDAY 23 MAY 2012


    Examining the business structure and employee requirement Exploring the fundamental changes to administration procedures Minimising risk and improving quality one year on Lars Lindencrone Petersen, Knowledge Partner, Bech-Bruun 14:50 afternoon coffee break 15:20 PANEL: Exploring OFR experiences to date and challenges in the future OFR in practice thoughts on the process so far Key challenges in compliance and how to address these in the future Structures for governance in the firm benefits afforded by positioning your risk team as in-house advisers Considering the compliance officer roles and structural changes needed to support these roles Panellists include: Iain Miller, Partner, Bevan Brittan Emma Dowden, Director of Best Practice & Operations, Burges Salmon 16:20 Chairs closing remarks 16:30 close of conference

    09:00 Registration and refreshments

    Andrew Cheung, Director of Compliance, SNR Denton comPliance and ouTcomes-focused RegulaTion 09:40 Managing the relationship and exploring supervision of firms Relationship management what can firms expect? Overview of thematic reviews Thematic reviews in practice The compliance officer roles Suchitra Hammond, Manager Large Firms, Solicitors Regulation Authority 10:20 A review of the money laundering landscape Anti-money laundering and terrorist finance future developments after the FATF recommendations and Treasury review Latest issues on sanctions AML and OFR joining the dots Sue Mawdsley, Partner, Legal Risk 11:00 morning coffee break 11:30 WORKSHOP/CASE STUDY: Developing a bespoke risk register for your firm for effective reporting How to identify and record risks and breaches Challenges and successes in building our risk register How our reporting works in practice Managing the supervisory process and encouraging partner involvement John H Verry, Risk Director, TLT 12:30 networking lunch break 13:30 Effective handling of conflicts and confidentiality for law firms Overview of risk in the new regulatory landscape and exploring the client perspective Identifying and dealing with conflicts of interest Exploring the systems and controls needed for effective management Examining the role of engagement terms Managing client relationships in conflict situations Tracey Calvert, Director, Oakalls Consultancy 14:10 CASE STUDY: Restructuring your risk function into a centralised department: Regaining control of client intake procedures Making the case for changing the business structure and beginning the process Gaining essential buy-in and managing partner responses

    Who should attend?


    anyone responsible for the risk or compliance function in law firms with uK and/or european offices, including: Head of Compliance Head of Risk Management Head of Professional Practices/Professional Standards Risk Partner Compliance Manager General Counsel/Special Counsel

    in partnership with international compliance association


    The international compliance association is a professional organisation dedicated to the pursuit of excellence in compliance, anti-money laundering and financial crime prevention. ica offers internationally recognised professional qualifications that help improve knowledge, enhance skills and minimise risk for firms. for novice and experienced practitioners alike, ica certificate and diploma programmes are a benchmark of competence and excellence. www.int-comp.org

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

    CONFERENCE 22-23 MAY 2012 LONDON

    Compliance for law firms

    Book Your Place Now


    Two-day conference only 1,245+VAT 4 easy ways to register

    BOOKING REF: 1293-12

    20%BEFORE BOOK
    30 MARCH

    discount available

    15%BEFORE BOOK
    20 APRIL

    discount available

    10%BEFORE BOOK
    4 MAY

    discount available

    996+VAT

    1,058+VAT

    1,120+VAT

    Scan with smartphone.

    QR CODE

    +44 (0)20 7566 5792 events@ark-group.com

    www.ark-group.com Ark Group Paulton House 8 Shepherdess Walk London, N1 7LB, UK

    DATA PROTECTION Your details will be added to the Ark Group database in order to process your booking and inform you of related Ark Group events and publications. Ark Conferences Ltd would like to contact you with details of our products and services. If you do not wish to receive these please e-mail events@ark-group.com. Ark Conferences Ltd would like to share your information with other carefully selected organisations. Please e-mail events@ark-group.com if you do not wish to receive this information.

    Sponsorship & Exhibition Opportunities


    By sponsoring a Managing Partner event you are gaining access to some of the most influential decision makers in major law firms. Managing Partner Events provide a wide range of opportunities that allow your companys products to be showcased through exhibiting and client case study presentations, which will enable you to: Create, maintain and enhance brand awareness Generate new leads and maximise your ROI Elevate your profile and stay ahead of your competitors Further enhance relationships with current clients Educate and intellectually influence your industry peers We understand that every client is unique, which is why we provide tailor-made packages to suit your business needs. So if you want to increase your brand awareness in this affluent market, please contact Jamie Brown on: +44 (0)20 7566 8203 | jbrown@ark-group.com

    Managing Partner Reports


    Outcomes-Focused Regulation: Compliance in Practice
    BRONWEN STILL AND TRACEY CALVERT

    Outcomes-Focused Regulation: Compliance in Practice


    295 (+ 7.50 p&p)

    Tackling Partner Underperformance in Law Firms


    NICK JARRETT-KERR

    Tackling Partner Underperformance in Law Firms


    295 (+ 7.50 p&p)

    Risk and Compliance for Law Firms in a Changed World


    FRANK MAHER

    Risk and Compliance for Law Firms in a Changed World

    295 (+ 7.50 p&p)

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    +44 (0)20 7566 5792 publishing@ark-group.com www.mpmagazine.com/bookshop.asp

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