ONE-DAY CONFERENCE | 18 OCTOBER 2012 | LONDON

re d fo an be st 9 4 k u oo u g 1 B th A e £ v 24 sa

presents the 2nd

COLP & COFA
conference 2012

Get the latest guidance from the SRA and Law Society who made key announcements at the April event

Essential guidance, knowledge and networking: Protect yourself and your firm
Gain clarity and insight at this unique one-day conference:
» Know 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 firm’s COLP and COFA both attend this event.
4 easy ways to register

+44 (0)20 7549 2525 • events@ark-group.com • www.ark-group.com • Or see back page for mailing details

CONFERENCE

MORE INFO

WHY THIS EVENT?
set a budget for the role? Will you have access to the management information you need to do your job? How will your COLP and COFA work together? As one of our April delegates commented at the end of the conference “there’s a lot to do”. One of the key functions of your new role will be reporting and managing your firm’s 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 can’t afford to spend days out of the office, so we have designed an intensive one-day programme to meet your needs. What you’ll return with is a better sense of what to expect of this role and how to ensure you are confident and ready come January. If you are taking on the COLP or COFA role for your firm then you simply can’t afford to miss out on the one-of-a-kind insight that this conference will provide!

Managing Partner’s 2nd COLP & COFA conference is back by popular demand following a highly successful event in April, at which the SRA and Law Society announced new guidance in their keynote speeches. The timing could not be better. Whilst by October, it is likely that your nomination for COLP and COFA will have been approved by the SRA, this probably means that your own work and responsibilities are just beginning. As the designated compliance officer, you will need to plan carefully now in order to hit the ground running come January 1st when you must start fulfilling your duties. 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 Partner’s 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. Has your firm

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 » Partnership Secretary

” ”

Past delegate feedback
Key learning points and short term actions, some confidence we’re not alone in challenging times. Excellent contribution from the SRA and Law Society.

CPD information

Attendance at this conference qualifies for 5 hours of SRA accredited CPD (at intermediate/advanced level). To claim your hours, quote provider code: EEW/ARCL. Attendance at this conference can count towards CPD for ICAEW members if it meets the training and development needs relevant to the member’s current role.

| TEL +44 (0)20 7549 2525 | E-MAIL events@ark-group.com

CONFERENCE

AGENDA

THURSDAY 18 OCTOBER 2012

09:00 Registration and refreshments 09:30 Chair’s opening remarks
Rachel Khiara, Partner, Khiara Law » Overview of the handbook and changes introduced » Understanding all elements of compliance as it affects your firm’s 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 » 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

09:40 OPENING KEYNOTE: Ensuring firm wide compliance and anticipating problematic areas

10:20 The first 100 days in the COLP or COFA role: First actions, first conversations to have

11:00 Morning coffee break 11:30 Outcomes-focused regulation and your role in supporting firm-wide compliance: A view from the Solicitors Regulation Authority 12:10 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 Elliott Vigar, Head of Regulation, The Law Society Samantha Barrass, Executive Director – Supervision, Risk, Education and Training and International Affairs, Solicitors Regulation Authority

12:50 Networking lunch break 13:50 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 » Protecting yourself and ensuring compliance Robert Farrant, Head of Risk Management, Mills & Reeve Chris Bull, Principal, Edge International Matt Moore, Director of Consultancy Services, Colpline

14:30 Afternoon coffee break 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 15:00
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’? » Other personal concerns relating to taking on the role Andrea Cohen, Partner, Pannone Jo Riddick, Compliance Officer for Legal Practice, Macfarlanes Bronwen Still, Director, Solicitor (non-practising), Seven Hills Legal Training and Services

STREAM B – COFA
CASE STUDY: Overview of lessons learnt and outcomes, examining the role of a potential COFA » A holistic approach aligned to the firm’s 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 Kathryn Fleming, Finance Director, Eversheds 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 Nick Lakhani, Finance Director, asb law Tracey Calvert, Director, Oakalls Consultancy Tim Nash, Chief Executive, Edwin Coe

STREAM A – COLP 15:40 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 doesn’t? » Practical guidance for drafting the annual report Michelle Garlick, Partner, Weightmans

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

16:30 Close of conference

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CONFERENCE 18 OCT 2012 LONDON

COLP & COFA conference 2012
BOOKING REF: 1969-12b

Book Your Place Now
One-day conference only £745+VAT

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28 SEPTEMBER

Your firm’s 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 7549 2525 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 company’s 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
Bronwen Still and Tracey Calvert £295 (+ £7.50 p&p)

COLP and COFA: Compliance in Practice
BRONWEN STILL AND TRACEY CALVERT

COLP and COFA: Compliance in Practice

Bronwen Still and Tracey Calvert £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

Frank Maher £295 (+ £7.50 p&p)
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