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Risk management for law firms

Risk management for law firms

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Published by Ark Group
The most prestigious legal risk management conference.
The most prestigious legal risk management conference.

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Categories:Types, Brochures
Published by: Ark Group on Sep 10, 2013
Copyright:Attribution Non-commercial


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4 easy ways to register
+44 (0)20 7324 2365
Or see back page for mailing details
B  o  o  k   b  e  f   o  r  e   
2  7   S  e   p  t  e  m  b  e  r   a  n  d   
s  a  v  e   £  2  4   9  
Expert contributions and strategic insights from:
Desmond Hudson,
Chief Executive, The Law Society
Samantha Barrass,
Executive Director, SRA
Chris Kenny,
Chief Executive, Legal Services Board
Julia Graham,
Chief Risk Officer, DLA Piper
Chris Perrin,
General Counsel, Clifford Chance
 An authoritative panel of speakers focused on  law firm risk – beyond compliance.
Frank Maher
, Partner, Legal Risk
Risk management for law firms
keynote speakersFour
 of the
leading thinkers
 on legal services regulation together in one roomKeynote speakers from the
UK’s No.1 and No.2 law firm by rank
*Debate and prepare your firm for
future regulatory change
Beyond regulation – manage the risks
your business cares about
practical tools
 for day-to-day risk and quality managementImplement a
risk management frameworkEngage
 your fee earners and support staff – sell complianceEstablish an
alternative business structure
 from a risk management perspectiveDevise an effective
supervision strategy
 with practice group flexibility Align risk with business development; know the risks inherent in your
client concentration
Evaluate the risks when
 your firm or
 with anotherManage a
data breach
 scenario effectivelyExamine the effectiveness of your
financial controls
The most prestigious legal risk management conference
* The Lawyer UK 200 2012
presents the 10th annual
 You can’t get a more heavyweight speaker panel in UK Legal Risk and Compliance than this one!
Respondents to our survey said that what they most value about Managing Partner’s annual
Risk management for law firms
 conference is its tradition of providing you with the highest level of speakers. This December’s conference will not disappoint, with a programme that features three of the leading lights in UK legal services regulation as well as insights from those who are
spearheading the risk and compliance agenda
 in large and medium sized law firms across the UK, ranging through from the Magic Circle to ABSs. The risk figureheads from the UK’s No.1 and No.2 law firms, by rank, will both give keynote speeches at this event, so that you can be sure that you are taking your lead from the front of the market.
Four powerful regulatory keynotes
Expect an involved debate, as senior heavyweight figures from the
Legal Services Board
 and the
Solicitors Regulation Authority
, reveal high level political discussions about the future of legal services regulation and are responded to by the profession, represented by
The Law Society
, a key member of the
City of London Law Society
 and the
Magic Circle
. By attending this annual conference, traditionally selected by the regulatory bodies for
unveiling industry announcements
 to the top 200 firms, you can be sure that you will be one of the first to hear about planned regulatory change and you can benefit from the opportunity to bring your own views to the table too.
Risks that your business cares about
While regulatory compliance can in no way be ignored, focusing exclusively on compliance issues might mean that you ignore some of the other business risks that are keeping your firm’s leaders up at night such as:What risks does your client concentration expose you to?
How could your latest lateral hire affect your risk profile?
Do the risks taken when opening a new office
in an emerging territory weigh up?Our fifth keynote, the Chief Risk Officer from the UK law firm currently ranked as No.1,
DLA Piper
, Julia Graham, returns to this conference seven years after her appearance at the inaugural event in December 2006, to give her updated perspective on how the corporate concept of “enterprise risk management” should apply to law firms. Not only will Julia encourage you to look at your business development strategy in the context of your risk management approach but also, through a collaboration with Louise Fleming, former Risk Partner at
, you will be introduced to a practical Risk and Governance Framework that you can use to assess the risk profile of your business.Risk management must be a key consideration in any new strategic direction that a law firm takes and, at this year’s conference, you can hear from
, a new
alternative business structure
 about the SRA application process and the risk management decisions that were taken by the company in relation to establishing the new business. With market change being so rapid, there’s a good chance that if you aren’t currently being asked to advise on setting up an ABS within your firm, you are instead being asked to look at the merits and demerits of merging with another firm or at opening a new office internationally. Andrew Cheung, Director of Compliance at
 returns to
Risk management for law firms
 to relate his experience of reporting on both of these strategic tasks to his senior management team. While on a less positive note you may need to ask serious questions about financial stability, so Robert Mojab of
DMH Stallard
 will explain from a Finance Director’s perspective what you need to know.
Practical applications and controls
We understand that, while it is important to be aware of forthcoming regulatory change, and to be involved in strategic decisions in your firm, most of your day job must necessarily be spent implementing practical risk management tools and techniques and encouraging your fee-earners and support staff to comply. For this reason the 10th
Risk management for law firms
 conference will also provide practical insight into the day-to-day considerations of your role including logging non-compliance; data protection; information security and anti-money laundering.The very best risk management policy is of no use if your fee earners and support staff don’t comply with it. But engaging people with compliance is a hard sell. Our panel of senior Risk Managers from three top 50 law firms will get to the bottom of the difficult questions including
why are we regulated?; why is compliance such a hard sell?; and how do you strike the balance between the need for risk controls and the need for speed?
With the
strongest speaker panel
 in its ten year history;
excellent networking opportunities
 and a programme balanced carefully between strategic risk management, regulatory thinking, and practical advice,
can you afford not to be at Risk management for law firms
Those responsible for the strategic and operational management of risk in UK law firms, including those with practical responsibility for implementing the frameworks and tools to manage risk and compliance.
Who should attend?
 An excellent summary of where we are, and the  risks concerning firms.
 Jemma Ralph, The Law Society 
Past event feedback 
Further expert contributions and strategic insights from:
+44 (0)20 7324 2365
09:00 Registration and refreshments09:30
Chair’s opening remarks
 Frank Maher, Partner,
 Legal Risk 
KEYNOTE 1 | What shape will regulation of the legal services industry take in the future?
 Comments on the Ministry of Justice Review
 Chris Kenny, Chief Executive,
 Legal Services Board 
KEYNOTE 2 | The regulator’s view: Current challenges and future perspectives
 Samantha Barrass, Executive Director,
Solicitors  Regulation Authority 
11:00 Morning coffee break11:30
KEYNOTE 3 | Responding to the Ministry of Justice Review of Legal Services Regulation: A law firm perspective
 Chris Perrin, General Counsel of Clifford Chance, has been instrumental in considering what the response of the City of London Law Society to the Ministry of Justice’s review should be. Hear his views on the shape that future regulation of legal services in the UK ought to take and benefit from an opportunity to contribute your thoughts.Revealing inefficiencies in the current framework
Starting again from scratch; what would a sensible
framework look like?Proposing a single regulator with differentiated approaches
tailored to the specific needs of different parts of the sector
 Chris Perrin, General Counsel, Executive Partner and COLP,
Clifford Chance
KEYNOTE 4 | Feeding into the emerging regulatory debate: What are the key questions?
 Lightening the load the case for a more proportionate regulatory approach?
 Desmond Hudson, Chief Executive,
The Law Society 
12:50 Networking lunch break ENGAGING FEE EARNERS AND SUPPORT STAFF 13:50
PANEL | The hardest job: Selling risk and compliance into the firm
Why is it so hard to sell compliance to lawyers? What’s in it
for me?Drawing a parallel with the SRA selling compliance to
law firmsWhy are we regulated? Making the UK a great place to buy
legal servicesRisk versus speed – striking the right balance between
imposing frameworks and allowing lawyers to get on with their jobs
 Facilitated by:Clare Jaycock, Director of Risk and Compliance,
 Panelists include: Annette Fritze-Shanks, Head of Risk Management,
Taylor Wessing
Peter Rogers, Lead Professional Regulation Advisor,
Osborne Clarke
CASE STUDY | Establishing an alternative business structure (ABS)
Making the decision – determining the benefits of becoming
an ABS; risks and rewardsThe application stages – business plan, risk framework
and strategySegregating a new business from an established
business frameworkLessons learned – for the applicant and the regulator
 Kathleen O’Reilly, Head of Internal Legal Services and Chair of Law Society’s Company Law Committee,
15:10 Afternoon coffee break RISK CONTROLS 15:40
Logging non-compliance
 In this talk, Elizabeth Davies, Conduct & Regulatory Officer at Irwin Mitchell will explain how this growing regional law firm has used the logging of non-compliance as a means to:Identify, monitor and control breaches of the SRA Handbook
and legislationComply with reporting requirements of COLP/COFA
Identify patterns of behaviour and target resource in a
proportionate and risk-based manner
 Elizabeth Davies, Conduct & Regulatory Officer, Risk & Compliance Team,
 Irwin Mitchell 
Managing the risks of international expansion
Conducting a risk assessment of the new territory or
partner firmUnderstanding the different models and structures for
expansion and the risks that followCombining the cultures of two different firms
How do you work together? Seeking the holy grail of
common risk standardsManaging risks globally
 Andrew Cheung, General Counsel, EMEA Region,
Chair’s closing remarks
17:10 Close of day one
 Attendance at this conference qualifies for
12 hours
SRA accredited CPD
 (at intermediate/advanced level). To claim your hours, quote provider code: EEW/ARCL.
CPD information

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