ONE-DAY CONFERENCE | 19 APRIL 2012 | LONDON

re nd fo a be ry 9 k ru a 1 4 oo b B Fe e th av 24 s

presents

COLP & COFA

conference 2012
In partnership with:

Essential guidance, knowledge and networking: Protect yourself and your rm

Gain clarity and insight at this unique one-day conference:
The day-to-day expectations of a Compliance Officer for Legal Practice (COLP) and a Compliance Officer for Finance and Administration (COFA) Get it right first time crucial practical guidance and worked examples for reporting Realise you are not alone share and discuss your concerns with your fellow COLPs and COFAs Avoid unnecessary conflicts through building and maintaining good relations with your partners, firm and members Better understand the expectations for supervision, enforcement and relationship management with the regulator

Expert perspectives from across the legal sector:

This conference represents a unique opportunity to gain practical understanding of the reporting and relationship management process for law firms and ABSs, and their COLPs and COFAs; and for those officeholders to build deeper relationships with their counterparts in other firms

Rachel Khiara, Partner, Khiara Law

Save 245 when your firms COLP and COFA both attend this event.
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

MORE INFO

WHY THIS EVENT?

One of the key functions of your new role will be reporting and managing your firms relationship with the SRA, however this undoubtedly is also one of the greatest areas of concern. What should be reported and when, how do you go about doing this, how much leeway will you be granted? With so much at stake, we have brought in experts to assist you with practical examples to work through, clear guidance on what and when to report and a wonderful opportunity to voice your concerns and get the answers you need. This conference represents a unique opportunity to gain practical understanding of the reporting and relationship management process, as well as to connect and build deeper relationships with your counterparts in other firms and know you are not alone. We realise that for many of you, this role is on top of your day job, and cant afford to spend days out of the office, so we have designed an intensive one-day programme to meet your needs. What youll return with is a better sense of what to expect of this role and how to ensure you are confident and ready come October. If you are taking on the COLP or COFA role for your firm then you simply cant afford to miss out on the one-of-a-kind insight that this conference will provide!

Whilst 31 March will see the end of much debate regarding who will be nominated as the COLP and/or COFA, your work and responsibilities are just beginning. As the designated compliance officer, you will need to be ready to fulfil your obligations come the end of October. But do you really understand what is expected of you, and what fulfilling your obligation means in practice? With potentially massive penalties for your firm and the possibility of you being held personally accountable for any failures to comply, how do you ensure that there are no nasty surprises waiting for you? For the past two years, risk leaders in law firms have grappled with ensuring they are ready to comply with the new regulation; however this may be new to you as the COFA, or as the COLP if you have not previously been responsible for the risk management in your firm. There is much uncertainty as to how these relationships with the SRA will be managed and how your new responsibilities will affect your current workload or fee earning potential. Failing to plan is planning to fail; this one-day conference ensures you have the tools and guidance you need to successfully embrace your new role as a compliance officer. Our research showed that people have differing views regarding taking on this role. Whether you are relishing this opportunity to instil change or tentatively accepting this as a necessary means to an end, as COLP or COFA you will be held accountable and need to ensure firm wide compliance. Managing Partners intensive one-day conference is designed to accommodate the unique challenges of both the COLP and the COFA by providing expert speakers, networking opportunities and streamed sessions to deliver the information that is most pertinent to you and your role. This conference will arm you with best practice when stepping into a role with added responsibility and explore what you should be doing in the first 100 days as the COLP or COFA. You will also gain expert guidance on how you can engage your firm and gain essential support and compliance, as well as exploring which areas you should be highlighting as potential problematic areas.

Who should attend?

This conference is specifically targeted at those expecting to take on the COLP and/or COFA role in their firm. This may include: Head/Director/Partner/Manager of Compliance Head/Director/Partner/Manager of Risk Head/Director/Partner/Manager of Finance Managing Partner Partnership Secretary

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

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

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AGENDA
09:00 09:30 09:40

THURSDAY 19 APRIL 2012

Registration and refreshments Chairs opening remarks Rachel Khiara, Partner, Khiara Law OPENING KEYNOTE: Ensuring firm wide compliance and anticipating problematic areas Overview of the handbook and changes introduced Understanding all elements of compliance as it affects your firms management functions (HR, IT, business management) Identifying key areas where compliance might be an issue (e.g. client care, supervision) Exploring the outlook for international firms Richard Turnor, Partner, Maurice Turnor Gardner The first 100 days in the COLP or COFA role: First actions, first conversations to have Moving into your new leadership position Ensuring essential buy-in and support from key partners and practice heads Setting your agenda and engaging your firm Developing effective communication skills to effectively deal with hearts and minds Peter Scott, Peter Scott Consulting and consultant, Penningtons Solicitors Morning coffee break

10:20

11:00

BREAKOUT SESSION
Attend the session most relevant to your specific role to ensure that you are able to derive the maximum benefit from this conference. These interactive sessions offer you the opportunity to engage with other attendees and session facilitators to benefit from practical guidance, worked examples and in-depth discussion, enabling better understanding of the intricacies of your new role and responsibilities.

STREAM A COLP 11:30

COLP CLINIC: Panel and interactive discussion exploring the personal impact of taking on the role An opportunity to discuss your concerns for taking on the role of the COLP with our panel of experts, exploring: Risks to fee earning potential Personal liability concerns Succession and contingency plans Time requirements to successfully fulfil the role Should the COLP have all areas access? Key COLP interfaces within the firm Andrea Cohen, Partner, Pannone Jo Riddick, COLP, Macfarlanes Bill Richards, Head of Risk and Compliance, Lawrence Graham

STREAM B COFA
CASE STUDY: Overview of lessons learnt and outcomes, examining the role of a potential COFA at a regional firm A holistic approach aligned to the firms risk agenda Setting up of a Compliance Board and its real life challenges Monitoring and reporting in the lead up to COFA Changing the culture to ensure compliance Glyn Morris, Finance Director, Higgs & Sons COFA PANEL: Interactive discussion exploring the personal impact of taking on the role An opportunity to discuss your concerns for taking on the role of the COFA with our panel of experts, exploring: Juggling the workload Personal liability Succession and contingency plans Time requirements to successfully fulfil the role Personal concerns relating to taking on the role Glyn Morris, Finance Director, Higgs & Sons Nick Lakhani, Finance Director, asb law

12:30 13:30

Networking lunch break

STREAM A COLP
WORKSHOP: Essential guidance for the COLP on reporting and classifying breaches What should be reported worked examples and table discussions What constitutes a material breach and what doesnt? Practical guidance for drafting the annual report Michelle Garlick, Partner, Weightmans Afternoon coffee break Supervision and enforcement: What should you expect? Understanding what your regulator will look for and expect in terms of reporting Guidance on the support and consultation offered by regulators Building a good relationship with your regulator Des Hudson, Chief Executive, The Law Society

STREAM B COFA
WORKSHOP: Essential guidance on reporting and relationship with regulator What should be reported worked examples and table discussions Practical guidance for drafting the annual report Ongoing relationship with regulator Developments in account rules Chris Bull, Principal, Edge International

14:30 15:00

15:40 16:20

Outcomes-focused regulation and your role in supporting firm wide compliance: A view from the Solicitors Regulation Authority Samantha Barrass, Executive Director Supervision, Risk, Education and Training and International Affairs, Solicitors Regulation Authority PANEL: Building a good relationship with partners, the firm and members Maintaining open and transparent communication lines Successfully managing disputes between the COLP/COFA and partners Tackling the role in an alternative business structure and managing member relationships Protecting yourself and ensuring compliance Robert Farrant, Head of Risk Management, Mills & Reeve Charles Hicks, Partner, Wedlake Bell Chris Bull, Principal, Edge International Chairs closing remarks Close of conference

17:00 17:10

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CONFERENCE 19 APR 2012 LONDON

COLP & COFA conference 2012

BOOKING REF: 1969

Book Your Place Now

One-day conference only 745+VAT

20%BEFORE BOOK
24 FEBRUARY

discount available

15%BEFORE BOOK
16 MARCH

discount available

10%BEFORE BOOK
6 APRIL

discount available

596+VAT

633+VAT

670+VAT

Your firms COLP and COFA can attend this event for the joint price of 1245+VAT which is a saving of 245. Early booking discounts still apply.

4 easy ways to register

+44 (0)20 7566 5792 events@ark-group.com www.ark-group.com Ark Group Paulton House 8 Shepherdess Walk London, N1 7LB, UK

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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 Dipa Patel on: +44 (0)20 7549 2554 | dipapatel@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)

Financial Planning and Management for Law Firms

JOHN CUSSONS

295 (+ 7.50 p&p)

Financial Planning and Management for Law Firms

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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