7/30/2019 COLP & COFA Breakfast Briefing Series

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Identifying andreporting materialbreaches and patternsof non-complianceWednesday 5 June 2013, 08:30 - 10:30A briefing designed for mid-tier law firms from the City and

the South East region, facilitated by Rachel Khiara andChris Bull

With the Solicitors Regulation Authority (SRA) guidance onOutcomes Focused Regulation (OFR) stating that the nature ofsystems and controls will vary according to the size of your firmor form of practice; its complexity, the activity that it conducts andyour client base, it makes sense for Managing Partner to prepareexecutive briefings at which COLPs & COFAs representing firms ofsimilar size can come together to discuss the challenging and sofar unresolved question of what constitutes a material breachrelevant to firm size.

Even if you are sure of your criteria for determining a materialbreach, are you sure exactly when you should report itand when you should alert your Board and partners to itsexistence? Hear from Karen Mitchell of Speechly Bircham ondealing with breaches from the perspective of a law firm with mid-tier resources.

Beyond breaches that are deemed material in and of themselves,the SRA also expects you to monitor, record and report patternsof non-compliance. Hear fromJane Jarman of Nottingham LawSchool who will share her extensive work with the Risk EducationManagement Programme for the Law Society of Hong Kong.

Following its successful and popular series of COLP & COFA

conferences, Managing Partner has prepared a timely breakfastbriefing designed to give COLPs & COFAs in mid-tier firms theopportunity to get an update on the latest thinking on COLP &COFA reporting and to work through these issues together. It hasbeen deliberately scheduled to take place a few weeks beforeinsurance renewal applications open so you can make sure toreport regulatory information in the correct manner and avoid anyunexpected delays.

Influencing skills forCOLPs and COFAsWednesday 19 June 2013, 08:30 - 10:30Be part of Board decisions before they happen; get taken

seriously by your fee earners.

Update your powers of persuasion during this intensive morningsession designed for the multi-faceted COLP and COFA roles.

Having your nomination for COLP or COFA approved by theSolicitors Regulation Authority (SRA) is one thing but having yourname on the official list is no guarantee that you will be able to getwhat you need to get done.

With personal liability at stake, you cant afford for your Board toinform you of decisions that impact compliance after the fact, youneed to be there at the point of contemplation to potentially steerthe firm away from choices that could land it in hot water

with the regulator.

You also need to be able to make a strong case for reportingbreaches, when you think that is the right thing to do according

to the rules, in situations where your Board and partners might besuggesting that corrective action on its own will be sufficient.

But how do you get your Board, partners and fee earners to listento you? How do you sell your personal brand and the ratherunpopular brand of regulatory compliance? How can you present apersuasive case to the SRA?

Following its successful and very well attended series of COLP& COFA conferences, Managing Partner brings you this criticalbreakfast briefing in which Nick Davies, Barrister; renowned expertin selling and influencing skills; award winning conference speakerand author of the book How To Be Great At The Stuff You Hateshows you how to gain credibility with senior management,

equipping you to start your day back at the office with an evenmore persuasive persona.

At this briefing we will also be joined by Ottilie Sefton, COLP atHolman Fenwick Willan who will share with you best practicetechniques from the law firm perspective.

How to book+44 (0)20 7549 2535 | events@ark-group.com | www.ark-group.com

195+VAT each or 345+VAT for both

Please note registration will begin at 08:00 for an 08:30 start. The briefing will close promptly at 10:30 but there will be an opportunity to stay forcoffee should you wish to do so. Attendance at each of these events qualifies for 2 hours of SRA CPD (at intermediate/advanced level).To claim the hours, quote provider code: EEW/ARCL.

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