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ONE-DAY CONFERENCE | 18 APRIL 2013 | LONDON

4 easy ways to register

+44 (0)20 7549 2535 events@ark-group.com www.ark-group.com Or see back page for mailing details

The COLP and COFA nominations have now been approved

and this conference will provide valuable insights and practical

advice from both the regulators and leading practitioners in the

professional practices sector, and is an opportunity for COLPs and

COFAs to build a network of their counterparts in other firms.

Rachel Khiara, Partner, Khiara Law

A word from our chair...

Arm yourself against the personal and business risks

that you are exposed to in your new role

A highly practical one-dayintensive conference:

Get the latest guidance from the SRA and The Law Society, who

made key announcements at both of our previous events

Bring hypothetical breach scenarios with you and receive personal

advice from your keynote speakers during our extended Q&A

Benefit from a heavyweight speaker panel, featuring Risk

Directors from many of the UKs largest law firms

Know how to identify a material breach attend our practicalworkshop to benchmark your response to case scenarios

Decide when you should report a breach, and when you shouldnt

Get support from others performing the same role

Determine whether you have sufficient

budget and resources for your role

Put effective compliance systems, controls and training in place

Identify and mitigate risks arising from your international networks

Expert contributions and strategic insights from:

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Your appointment as the Compliance Officer for Legal Practice (COLP)

or Compliance Officer for Financial Administration (COFA) has beenapproved by the Solicitors Regulation Authority (SRA) and you have

laid down careful preparations for your role and read through all of the

regulators guidance notes so that you are ready to hit the ground running.

But with any new role, there are bound to be practical issues that will only

bring themselves to the fore once you have begun the role in earnest.

Are you sure about what constitutes a

material breach and what doesnt?

Do you know what to report and when?

What happens when you disagree with senior management?

Do you have enough budget and enoughresources to perform your job effectively?

Any role within compliance or enforcement in a law firm is likely to be a

lonely one at times, especially with fee earners having financial incentiveto ignore due diligence during undeniably difficult market conditions.

Dont feel that you are alone

Yet, you dont have to feel unsupported. Managing Partner brings you its

incredibly practical 3rd COLP & COFA conference, appropriately timed

for a few months following the start of COLP and COFA implementation, to

give you the opportunity to come together to discuss the practical issuesthat you find yourselves actually facing in your new roles, with the overall

strategic aim of keeping your firms out of trouble with the regulator.

More senior practitionersNow that the COLP and COFA roles are in place, our speaker panel

has been developed to include even more Directors and Heads of Risk

Management from large to medium UK law firms, who will reveal to

you their insights into the roles and responsibilities of the COLP andCOFA from their individual perspectives.

More practical,interactive sessions

Based on feedback from our2012 events, the conference

format has been re-worked toinclude a greater number of

discussion panels, giving you the opportunity to hear from more expertsat once and to share your own thoughts and questions from the floor,

as you work your way through the implementation hotspots together.

We understand that the identification of material breaches remains one

of the biggest unresolved issues for many of those taking up the COLP and

COFA roles. So we are delighted to include, for the first time, a practical

workshop session run by two senior risk practitioners which will explore,through a series of case scenarios, the key trigger points for reporting

these. This will present you with an ideal opportunity to sense-check your

instincts and initial reactions against those of other COLPS and COFAs.

You are in safe hands

Managing Partner has established itself as a leading provider of COLPand COFA learning and networking events. Our first two conferences

were attended by in excess of 80 senior delegates representing the

top 100 law firms and were selected by both the SRA andThe Law

Society as the perfect forums within which to reveal key industryannouncements, which were later widely reported by the legal press.

Our 3rd event will maintain this reputation and we are delighted to welcome

back keynote speakers from the SRA and The Law Society once againto let you into the latest thinking from the perspective of both your regulator,

and your representative body. The keynote from the SRA will be particularly

well-timed, with the regulator having announced (at Managing Partners

annual Risk Management for Law Firms conference) in December 2012 thatit plans to decide upon the detail of the annual reporting requirements for

the COLP and COFA roles during early 2013, and also to consult with the

profession on international responsibilities between January and March 2013.

The international dimension

Following the last two conferences it has become clear that more and

more law firms are opening foreign offices or working with foreignclients and that there is no clear consensus as to how to interpret

the SRAs regulatory guidance for these overseas territories.

For this reason, our 3rd COLP & COFA conference features a specific

panel session focused on identifying and mitigating international risk.Hear senior risk managers from major international firms, Freshfelds

Bruckhaus Deringer, and Berwin Leighton Paisner explain how theymonitor risks arising in their extended overseas networks to safeguard

your own firm against international risk when you return to the office.

Having taken on the COLP or COFA role in a law firm, you have assumed alarge amount of personal responsibility on behalf of your firm, and you

may not always have the support of your partners. Attend Managing

Partners 3rd COLP & COFA conference to insure yourself against the risks

that your new role necessarily exposes you to. Leave at the end of the dayarmed with practical peer-level guidance; updated regulatory guidance

and a business card holder full of numbers that you can call upon if you

find that you are faced with a challenging breach situation in your firm.

CONFERENCE

MORE INFO WHY THIS EVENT?

TEL+44 (0)20 7549 2535 |E-MAILevents@ark-group.com

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 those who donot hold the official title but who are effectively responsible formaintaining ethical and financial standards within their firms.

Who should attend?

CPD informationAttendance at this conference qualifies for 5 hours, 30 minutes (COLP) and 6 hours (COFA) ofSRA accredited CPD (at intermediate/advancedlevel). To claim your hours, quote provider code: EEW/ARCL.

Awareness o best

practice and the issues

being addressed by

practitioners.

Mark Coker,

Vinson & Elkins

Past event eedback

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CONFERENCE

AGENDATHURSDAY 18 APRIL 2013

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

09:00 Registration and refreshments

09:30 Chairs opening remarks

Rachel Khiara, Partner,Khiara Law

UPDATED REGULATORY GUIDANCE

09:40 KEYNOTE | Supporting risk-based and firm-wide compliance:A view from the Solicitors Regulation Authority

Samantha Barrass, Executive Director Supervision, Risk, Education andTraining and International Affairs, Solicitors Regulation Authority

10:10 KEYNOTE | The new regime: Raising standards

Pearl Moses, Practice Lead Consultant: Riskand Compliance, The Law Society

10:40 EXTENDED KEYNOTE Q&A

Participants are invited to bring with them...

1. Scenarios that they have encountered in their firms

or

2. Hypothetical situations that they are uncertain about

...in order to find out from Samantha Barrass and PearlMoses how these incidents should be tackled, whetheror not they should be reported and if so, when.

11:00 Morning coffee break

PRACTICAL IN-ROLE GUIDANCE

11:30 PRACTICAL WORKSHOP | Identifying materialand immediately reportable breaches

Participants will be presented with a number of different breachscenarios and will have the opportunity to discuss these on their tablesin relation to the guidance on material breaches and criteria issued by

the SRA. Delegates will then have the opportunity to feed their answersback to the workshop facilitator as part of a floor discussion concerningthese cases. Additionally this session will look at questions such as:

Is an issue with a supervision failure at heartnecessarily a material breach?

Given the personal obligation for individuals to report to the SRA, canyou have a reporting policy that requires staff to report internally first?

How do you manage reporting allegations of discrimination,harassment or bullying? Is it different if these aremade against a Partner or senior manager?

When do you get to a systemic failure?

When you report to the SRA what do you report and what doyou hold back can and when does privilege operate?

Co-facilitators: Andrew Cheung, Director of Compliance,Dentons andAnnette Fritze-Shanks, Head of Risk Management, Taylor Wessing

12:10 Knowing when to report a breachYou have established that you may have a material breach on your handsand you know that the SRA advice is that you should report it to themas soon as practicable but what about the internal considerations?

Sources of information about incidents

Systems and controls to support the COLPs monitoringobligations, including recording incidents and breaches

Establishing whether or not you are dealing with a material breach

Seeking internal and external advice

Should you approach your Managing or Senior Partner(or the Firms Board) before you report?

Avoiding internal strife e.g. arbitration what do you do if yourfirms management or others within the firm disagrees with you?

Reputational issues

Whistleblowing

Robert Farrant, Head of Risk Management,Mills & Reeve

12:50 Networking lunch break

13:50 Building your role, your team and theresources you need to do the job

Building your risk register

Establishing clear, reporting lines

Are people willing to go to you as the COLP/COFA? Do you need a deputy in place? Can your deputy report directly?

Ensuring good communication between the COLP and COFA

Panelists include:

Bill Richards, Consultant: Compliance andProfessional Standards,Lawrence Graham

Chris Bull, Principal, Edge International

Juliet Tainui-Hernandez, Director of Risk,Addleshaw Goddard

14:30 Developing effective compliance training for fee earnersto reduce the number of breaches you need to report

Your new procedures may be impressive on paper but it is likely that veryfew of your people know much about the SRAs requirements. By buildingawareness you can improve compliance and reduce the number ofbreaches you need to report. This session will focus on matters such as:

Establishing culture change, bringing everybody in Key compliance messages

Devising internal incentives and/or penalties

Responding to patterns of non-compliance

Positive or negative reporting?

Tim Prior, Independent consultant

15:10 Afternoon coffee break

15:40 INTERNATIONAL | Identifying the risks arisingout of your foreign offices and networks

Responding to the SRAs latest guidance on international affairs

Adhering to outcomes-focused regulation (OFR)principles in your foreign jurisdictions

Keeping alert to new and emerging risks in your foreign network

What do you need to bear in mind when working with overseas clients?Panelists include:

Moderator: Rachel Khiara, Partner,Khiara Law

Nicole Bigby, Partner Director of Risk,Berwin Leighton Paisner

Sonya Foulds, Head of Regulatory,Freshfields Bruckhaus Deringer

Andrew Cheung, Director of Compliance,Dentons

16:20 Chairs summary remarks for COLPs & COFAs

FOCUS ON THE COFA

16:30 COFA SPECIAL FOCUS SESSION

Understanding the relationship between OFRand the Solicitors Accounts Rules

Monitoring the number of material and non-material breaches

Identifying patterns of trivial non-complianceto develop training solutions

Anticipating a new role for auditors

Reporting to the SRA annually what shouldbe in the annual report; when?

Seizing the opportunity to encourage fee earner compliance

Panelists include:

Moderator: Chris Bull, Principal, Edge International

Tracey Calvert, Director, Oakalls Consultancy

Nick Lakhani, Finance Director,asb law

Glyn Morris, Finance Director,Higgs & Sons

17:00 Close of conference

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CONFERENCE18 APR 2013LONDON

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COLP and COFA:

Compliance in Practice

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