Sample agenda for a one-day masterclass

09:50 Meet and greet 10:00 A recap on the regulatory environment • Regulation in context • Recent history • The impact of the Legal Services Act • Who are the regulators? • Regulatory competition? 10:30 Outcome focused and entities based regulation • What is it and what does it hope to achieve? • LDPs, ABS, MDPs and “traditional” law firms • A new outcome focused Code of Conduct • A new relationship between regulator and the regulated community? • How the SRA has geared up to deal with this 11:00 Coffee break 11:15 The recent regime • Recent SRA visits • The recent Code of Conduct 2007, as amended • Why me? SRA sources of information • The visit process from notification to closing meeting • Visit report/summary of breaches • Follow up and referrals for investigation • Hot topics 11:45 The current regime Part 1: The draft Code of Conduct • Principles, outcomes and indicative behaviours • What impact does the outcomes focused approach have? • The new Code structure, the changes of substance 12:45 A thought before lunch • Rule 5 v Principle 8 o “You must run your business or carry out your role in the business effectively and in accordance with proper governance and sound financial and risk management principles” • What does this mean to you and your practice? 13:00 Lunch break 13:45 Principle 8: Feedback session

14:00 The future regime Part 2: The Authorisation Rules and SRA information requirements • The requirements for authorisation – general and specific • COLPs and COFAs • Approval of managers, owners, COLPs/COFAs • The SRA’s powers to impose conditions on authorisation • Publication of conditions • Transitional arrangements 14:30 The current regime: Part 3: SRA enforcement powers • SRA (disciplinary procedure) rules • Internal disciplinary decisions • Referrals to SDT • How the Legal Ombudsman fits into the picture 14:45 Tea break 15:00 The current regime: Part 4: SRA supervision • What are the new methods envisaged under the new regime? • Relationship management and risk based visits • The SRA’s relationship management pilot • Might you be a target for relationship management or risk based visits? • The Code of Conduct: hot topics 15:30 Masterclass round up: • Your priorities ‘after the fact’ • “Compliance plans” • Questions 15:45 Close of masterclass.

PLEASE NOTE; This is a sample agenda. All sessions and timings can be adapted to the specific needs of your firm. Managing Partner events can provide a wide range of expert speakers to deliver masterclasses on the challenges that are facing your firm. Previous Managing Partner speakers have included:

• • • •

Former Eversheds Managing Partner Former SRA Practice Standards Advisor Former SRA Head of Standards Former Chief Executives And several other award winning consultants, including two law firm trainer’s of the year

The in house masterclasses will be booked for a minimum of 10 people and if you would like further details on pricing and dates please email amarchal@arkgroup.com.

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