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Regulation & Compliance Conference

Tuesday 11th May 2021 - Thursday 20th May 2021 - This Conference has been postponed from March 2020 and will be hosted virtually using Zoom over 4 days (Please note end times are approximate). 

 

PROGRAMME


PART 1 - Tuesday 11th May 2021 - 9.30 am - 11.00 am
Developments in Legal Regulation
Paul Philip, Chief Executive, Solicitors Regulation Authority
Impact of Reforms
Crispin Passmore, Passmore Consulting Ltd
PART 2 - Thursday 13th May 2021 - 9.30 am - 11.15 am
Accountants Update
Janet Taylor & Jason Mitchell, PKF Francis Clark
Reporting Breaches to the SRA
Cary Whitmarsh, Ashfords
PART 3 - Monday 17th May 2021 - 9.30 am - 10.30 am
Conflicts Exercise
Bryony Crump, Michelmores
Stephen Forsey, Amicus Law
Becky Hunt, Stephens Scown
PART 4 - Thursday 20th May 2021 - 9.30 am - 11.00 am
Anti Money Laundering Update
Matt Moore
Topical Miscellany - A Clear vision?
Trevor Hellawell, Ex-L Practice development

Conference Fees
Members: £75.00 + VAT (£90.00 inc. VAT)
Non Members: £120.00 + VAT (£144.00 inc. VAT)
SRA Competency A,C & D - 5. 5 Hours

 

COURSE OUTLINES & BIOGRAPHIES

 

 

Developments in Legal Regulation

Paul Philip

Paul joined the Solicitors Regulation Authority as Chief Executive in 2014. Since then, he has improved its operational performance and delivered an ambitious programme of regulatory reform. This includes the introduction of an up to date regulatory model with a sharp focus on professional standards, supporting the delivery of legal services in new ways while ensuring proper public protection.

Paul was previously the Deputy Chief Executive and Chief Operating Officer of the General Medical Council. He has previously held senior roles in both the Legal Services Commission and the NHS.

 

Impact of Reforms

Crispin will talk about the changing legal market, the impact of reforms and what might happen over the next five to ten years as consumers, law firms and new entrants navigate their open paths.

 

Crispin Passmore

Crispin Passmore established his own consultancy business at the start of 2019 and already works with a select group of start-ups, global legal businesses and law firms with a focus on the UK and the US in particular. His consultancy focuses on legal market strategy, regulation and workforce strategy. He also advises a number of legal regulators around the world. Prior to this he was the architect of reform at the SRA, leading a team of experts to deliver the new Standards & Regulations, SQE and more. He is internationally recognised as an expert on legal regulation and the legal market, having held a wide range of roles in the market over 25 years.

 

Accountants Update

SRA Accounts Rules 2019 – A topical update covering the new SRA Accounts Rules - reviewing the key changes and common pitfalls arising for firms, their COFAs and finance teams to consider.

 

Janet Taylor

Janet joined PKF Francis Clark as part of the firm’s specialist legal team in 2018 having been an owner in Taylor Mowbray LLP for over 12 years. Prior to that she spent over 10 years with another top 20 accounting firm heading up their specialist solicitors’ group. A highly experienced presenter Janet provides relevant and practical training on a number of financial issues for lawyers. Over the last 18 years she has regularly presented training on the SRA Accounts Rules to a wide range of accounting and law firms through in-house and public seminars. Clients have included several major international and national law firms as well as their reporting accountants. Janet is the current Subject Matter Expert for the ICAEW’s Solicitors Community Advisory Group and is the co-author of A Practical Guide for COFAs and Finance Professionals.

 

Jason Mitchell

Jason is a partner within PKF Francis Clark legal services team. Jason has been working in the legal sector for the last 17 years, having initially trained as an accountant in industry before moving into accounting practice and qualifying as a Chartered Accountant. Since joining the PKF Francis Clark legal team in 2002, Jason has specialised in providing accountancy and advisory services to a wide range of law firms. His particular areas of interest include: accounting, tax and regulatory matters. Jason’s experience extends to him having the benefit of being employed by a law firm being responsible for its finance function as well as undertaking various similar assignments on a secondment basis within various law firms. This practical experience means that he remains in touch with both the commercial and regulatory challenges that they face on a day to day basis.  Jason is a regular speaker at legal sector seminars and delivers in house training to law firms in respect of the SRA Accounts Rules.

 

Reporting Breaches to the SRA 

 

The session will explain the duty to report to the SRA, what sorts of things should be reported and when to report. I will also cover what should be put in any report to the SRA. I then explain what happens once the SRA receive a report all the way up to an appearance before the SDT.

 

Cary Whitmarsh

Cary Whitmarsh began his compliance career in consumer protection where he worked for local authorities in an enforcement role and then in business advising firms on how to comply with consumer protection law.

In 2003 Cary joined The Law Society as a Forensic Investigation Officer, a role he carried out for 16 years, developing an expert knowledge of the SRA conduct and accounts rules. Cary joined Ashfords LLP in March 2019 where is now the firm’s Head of Risk & Compliance.

 

Conflicts Exercise

Bryony Crump, Michelmores

Stephen Forsey, Amicus Law

Becky Hunt, Stephens Scown

 

Anti Money Laundering Update

The significance of maintaining effective controls against money laundering activity by clients and other continues to grow. Following our withdrawal from the EU further changes to domestic legislation nonetheless remain possible, and so there may yet be further AML hurdles to negotiate. For the time being, however, there is much to take on board from the lengthy Legal Sector Affinity Guide contents as issued in January 2021 which make clear the need to ensure that the controls in place in all firms are truly effective, with nominal compliance no longer an option. In this session AML expert Matt Moore will review what is now required of firms and provide some practical suggestions as to how they should be addressed.

  • The latest developments in law and regulation
  • The need to keep the risk assessment up to date and why it matters
  • The essentials of a compliant policy – mere tick box will simply not do
  • The latest guidance from the regulators
  • Other tips and pointers for the future”

Matt Moore

Matt is a solicitor specialising in regulatory issues and is the Director of Consultancy Services with Infolegal Ltd – a law firm risk management consultancy which also provides a subscriber-based internet compliance support service. The services provided by Infolegal include continually updated model Office Manuals for all sizes and types of firms which include sample anti-money laundering policies and filmed training sessions on the topic for use with colleagues in-house. He is also a consultant solicitor with Jayne Willetts & Co, a specialist regulatory and disciplinary practice. Once a law lecturer at Exeter College Matt now has over 30 years' experience of consultancy and training within the profession and has written extensively throughout this time including, "Money Laundering Compliance for Solicitors" (with Diane Price), with a third edition due out later this year, and “Decoding the Codes of Conduct“ – a guide to the SRA’s current regulatory requirements. mattmoore@infolegal.co.uk.

 

Topical Miscellany - A Clear vision?

Trevor’s round-up of things topical will discuss many of the topics that other speakers may or may not have mentioned, but in a little more detail, such as:

  • New LSAG AML Guidance 2021
  • Legal professional privilege
  • Re-location to other regulators
  • Accounts Rules relaxations
  • SQE developments
  • The future of the ‘old’ profession
  • The implications of being outside the EU

Trevor Hellawell

Trevor Hellawell is a solicitor and legal training and management consultant working with  major law firms, local law societies, many legal training providers and other clients.  Until going freelance in 1999 he was a full time lecturer with the University of Law, ending his career as a Principal Lecturer at the York Branch. Until recently returning to the freelance arena, he was Head of Law Programmes at BPP. He was formerly a member of the Law Society’s Planning and Environmental Law Committee and is the author of the Environmental Law Handbook, now in its seventh edition. Throughout his career, he has lectured extensively on Professional Conduct, Management skills such as Client Care, Time Management and Appraisals, Financial Services matters, including Money Laundering, as well as mainstream academic law subjects.

 

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