7/28/2019 COLP & COFA Conference 2013 - October

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one-day ConFerenCe | 3 oCtoBer 2013 | London

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+44 (0)20 7324 2365 v@k-u.cm .k-u.cm o bck f ml l

A one-day intensive conference designed toensure you:

Explore potential material breach scenarios

Spot patterns of non-compliance in your firm

Find out what you need to know about data collection

Develop confidence in your role

Exchange approaches with your peers

Practice making judgements and evidence based decisions

Get an update from your regulator

Engage your fee earners in compliance

Gain credibility at Board level

Develop an effective relationship between your COLP and COFAPlan for contingency and succession

Understand how the new overseas rules will affect your firm

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Expert contributions and strategic insights from:

As the SRA focuses on the risks presented by law firms and other legalservices businesses, the roles of COLP and COFA are rapidly becoming of

increasing importance. This conference examines how the COLP and

COFA roles have developed over the past nine months, with practicaladvice from the Regulators and those on the frontline.

Rachel Khiara,Partner, Khiara Law

A word from our chair...

COLP & COFAconference 2013

presents the 4th

Practical approaches to ensure you make the right judgements

7/28/2019 COLP & COFA Conference 2013 - October

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When you first agreed to take on the COLP role it is likely that you wereprimarily concerned with how to identify a material breach and when exactlyto report it. With the official guidance largely suggesting that this will be acase of individual and intuitive judgement, following the move to outcomes-

focused regulation (OFR), it is really not surprising that many COLPs andCOFAs would prefer the reassurance of a clear framework that they couldrely upon to assess each possiblebreach situation as it occurs in theirfirms, as well as the opportunity tocome together to share and assessdifferent approaches.

While it isnt possible to providea blueprint set of rules for aprinciples-based regulatory regime,Managing Partners 4th COLP &COFA conference has been designed to equip you to know a materialbreach when you see one by creating the ideal opportunity for you to:

Explore anonymised case studies of possible breachscenarios during our practical workshop, whichhas been extended by popular demand

Hone your judgement skills with insightfrom our experienced speakers

Exchange your thoughts on the best approachto take towards breach scenarios with thoseresponsible for compliance in other law firms

Discover, in a workshop setting, how to look forand identify patterns of non-compliance in your firmwhich may turn out to be material breaches

Hear the latest guidance and industry

announcements from your regulator

All this with the central aim of giving you the confidence you need to carryout your role as COLP or COFA.

Now, nine months in to the role, extensive research conducted byManaging Partner shows that the attention of many COLPs and COFAs isturning, as well, to the inter-personal elements of these multi-faceted roles.As COLP or COFA you are discovering that you must:

Engage your colleagues in compliance

Persuade your partners to make unwelcome decisions

Gain credibility at a Board level in order to influence

your senior management team and be includedin strategic decisions as they happen

Build an effective working relationship with yourCOLP or COFA counterpart and your deputy

Manage your relationship with the regulator

Gain buy-in from business support

All of these topics will be covered in this intensive one-day conference,along with many others.

CoFa cv

In addition to having extended the practical workshop element in response

to your feedback, at Managing Partner we have also listened to yourrequest to ensure greater COFA involvement in the programme. And so, aswell as a dedicated session which will explore A day in the life of a COFA,other sessions will include both a COLP and COFA perspective.

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After three sell-out conferences, with over 180 attendees, ManagingPartners COLP & COFA conference has become quickly established as

the leading event for COLPs and COFAs and one atwhich the Solicitors RegulationAuthority (SRA) has chosen tomake key industry announcementson each occasion.

Dont miss out on this opportunityto become a credible and market-leading Compliance Officerdriving through a risk managementapproach that reduces your firms insurance premiums; safeguards andimproves its reputation, and above all keeps your firm out of hot water. Withthe last three conferences having sold out, we would advise you to bookyour place as soon as possible.

CONFERENCE

MORE INFO WHY THIS EVENT?

This conference is aimed at those who have taken onthe COLP and COFA roles within law firms.

It will also be suitable for COLPs and COFAs, such as Headsof Risk, Compliance and Compliance Lawyers those who donot hold the official title but who are effectively responsible formaintaining ethical and financial standards within their firms.

Who should attend?

As the SRA focuses on the risks presented by law firms andother legal services businesses, the roles of COLP and COFA are

rapidly becoming of increasing importance. As the individuals tasked

with ensuring regulatory compliance, and implementing systems

and controls to ensure that this is the case, they will be responsiblefor the monitoring the risk indices within the SRAs Risk Framework.

This conference examines how the COLP and COFA roles

have developed over the past nine months, with practical

advice from the Regulators and those on the frontline.

Rachel Khiara,Partner, Khiara Law

A word from our chair...

CPD information

Attendance at this conference qualifies for 6 u ofsra cc Cpd (at intermediate/advanced level).To claim your hours, quote provider code: EEW/ARCL.

Very good practicalguidance, good points

raised, balancedopinions.Wendy Wright,Langleys Solicitors

Great content and case

studies, encouraged a lotof interaction.Jeremy Fowke,Squire Sanders

Past event feedback

Past event feedback

|TEL+44 (0)20 7324 2365 |E-MAILevents@ark-group.com

7/28/2019 COLP & COFA Conference 2013 - October

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CONFERENCE

AGENDATHURSDAY 3 OCTOBER 2013

|WEBwww.ark-group.com |OR see back page for mailing details

09:00 Registration and refreshments

09:30 C mk

Rachel Khiara, Partner,Khiara Law

INDUSTRY KEYNOTES AND ANNOUNCEMENTS

09:40 Keynote opening address | Bul cfc ul CoLp CoFa

Mike Haley, Director of Supervision, Solicitors

Regulation Authority

10:10 a fm L sc

What concerns are COLPs and COFAs raising?

Will the Law Society support COLPs and COFAs?

Practical (anonymised) examples of potential breach scenarios that

have arisen and conclusions drawn

Pearl Moses, Practice Lead Consultant: Risk and Compliance,

Law Society

10:40 Morning coffee break

PRACTICAL WORKSHOPS

11:10 extended praCtiCaL worKshop 1 | if mlbc clu qu f ll vl

This session has been extended due to popular demand. Your workshop

leaders will walk you through a series of new, anonymised and fictitious

case examples which represent situations that could easily arise in real

law firms. In risk analysis, it is helpful to combine the views of several

experienced professionals approaching complex situations from different

perspectives to remove bias. Take this unique opportunity, not only to

get practice at making your own judgements but also to understand how

your peers might approach the scenarios differently.Andrew Cheung, Director of Compliance,Dentons

Annette Fritze-Shanks, Head of Risk Management, Taylor Wessing

12:30 Networking lunch break

13:30 praCtiCaL worKshop 2 | evc b cmlc: dcllc f f -cmlc

Data collection where to look and what to look for

Exploring the link between compliance and human resources data

and financial data

Ensuring that your colleagues continue to report non-materialbreaches to you to help you identify patterns

Deciding when a pattern becomes a material breach in and of itself

Jane Jarman, Reader,Nottingham Law School, Nottingham

Trent University

Clare Richardson, Compliance Lawyer, Slaughter and May

COLP AND COFA SYSTEMS

14:30 ebl ffcv kbl CoLp CoFa m

Creating a living risk register

Establishing ownership of risks

Ongoing monitoring of your risks have they changed?

Considering the benefits and limitations of file audits

Karen Mitchell, Head of Compliance, Speechly Bircham

BUILDING RELATIONSHIPS AND INFLUENCE

14:50 ifluc u B, u cllu k usra ul m

Becoming a visible, respected and credible individual in your firm

Ensuring you have the requisite authority to report breaches

Building your team and adequate resources

Gaining access to Board information to anticipate breach issues

before they happen

Engaging your colleagues communication techniques such as

intranets, portals and handoutsGetting feedback

Being supportive to colleagues who are reporting breaches

Gaining buy-in from business support

Angela Robertson, General Counsel, Partner and COLP, Eversheds

15:20 Afternoon coffee break

15:50 paneL | dvl ffcv l b CoLp CoFa, u bk

Guest speaking slot: A day in the life of a COFA

Taking a risk based approach to banking relationships

Spreading the risk managing client funds through a

Treasury committee

Assessing the impact of changes to bank terms and conditionsAdopting SRA guidance preparing for and dealing with bank failure

Is there a role for Banking Advisers to fulfil?

Glyn Morris, Finance Director,Higgs & Sons

16:00 | PANEL DISCUSSION

Relationships with auditors

Maintaining the risk register and regularly reviewing your risks

Ensuring that the COLP and COFA have a safe place to talk todetermine what and when to report sounding boards, potential

breach reports, safe harbours and external advice

Creating a clear link between compliance and your bottom line (viaprofessional indemnity insurance)

Additional panelists including:

Nick Lakhani, Finance Director, asb law

Chris Bull, Executive Director, Kingsmead Square

John Verry, Director of Risk, TLT

16:30 M fmc: succ l ccm f CoLp CoFa

Second generation issues; the Managing Partner as COLP or COFA

The General Counsel as COLP?; how is this working in practice?

The Finance Director as COFA

Deputy COLPs and COFAs; developing an effective relationshipwith deputies

Does the COLP need to be a partner/lawyer?

Managing the performance of the COLP and COFA; how can thisbe assessed?

Panelists include:

Robert Farrant, Head of Risk Management,

Mills & Reeve

Nick Lakhani, Finance Director, asb law

THE INTERNATIONAL PERSPECTIVE

17:00 r v ul

The new SRA requirements

Working to SRA rules versus applying global standards versus

gathering information and then choosing what to report

The relationship of the SRA with other regulators

Controlling the use of your brand by foreign bodies

Tracey Calvert, Di rector, Oakalls Consultancy

17:20 C cl mk

17:30 Close of conference

7/28/2019 COLP & COFA Conference 2013 - October

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CONFERENCE

3 OCT 2013LONDON

Book Your Place Now BOOKING REF: 1969-13b

onLinewww.ark-group.com

e-MaiLevents@ark-group.com

phone+44 (0)20 7324 2365

postArk Group

6-14 Underwood Street

London, N1 7JQ, UK

+44 (0)20 7566 5792 publishing@ark-group.com www.managingpartner.com/bookshop

@LegalMPFOLLOW US

CoLp CoFa: Cmlc pcc(2 ) Bronwen Still and Tracey Calvert

De-mystifying the roles and offering practical support, thisreport will help COLPs and COFAs to identify and meet the

SRAs requirements and use their position to maximum benefit.

The 2nd edition has been fully updated to include advice on:The responsibilities of the COLP and COFA;

How these roles might fit into the management structure;

What a compliance plan should contain;

What taking all reasonable steps to

ensure compliance means;Reporting non-compliance and what material

non-compliance might include;

The relationship between the SRA and

the COLP and COFA; andThe SRAs new approach to risk and its supervision regime.

Youll also find new case studies and commentaries on:

The challenges being faced by COLPs

and COFA in practice;The similarities to the MLRO role;

The nuts and bolts of compliance;

The early experiences of a COLP of an ABS; and

The reporting accountants perspective.

BRONWENSTILLAND TRACEYCALVERT

COLP and COFA:Compliance in Practice

PUBLISHED BY

2nd edition

INASSOCIATIONWITH SUPPORTED BY

Law Firm Management Reports

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Special offer from Managing Partner

o- cfc l745+Vat

earLy BooKing disCoUnts

20%15%

10%

off this event when you book before1 AUGUST 2013, making the event 596+VAT.

off this event when you book before30 AUGUST 2013, making the event 633+VAT.

off this event when you book before12 SEPTEMBER 2013, making the event 670+VAT.

DATA PROTECTIONYour details will be added to the Ark Group database in order to process your booking and inform you of related Ark Groupevents and publications. Ark Conferences Ltd would like to contact you with details of our products and services. If you do notwish to receive these please e-mail events@ark-group.com. Ark Conferences Ltd would like to share your information withother carefully selected organisations. Please e-mail events@ark-group.com if you do not wish to receive this information.

Your firms COLP and COFA can both attend this event for the joint priceof1245+VAT (a saving of 245). Early booking disounts still apply.

speCiaL oFFer

195 (+ 7.50 p&p) with

code CD-R1 / RRP 295