REGISTER YOUR PLACE TODAY:

+44 (0) 207 324 2365 www.ark-group.comevents@ark-group.com

Why Attend?• Understand how Brexit is likely to affect your firm• Prepare for changes to the SRA Handbook• Learn how non-traditional legal services businesses

manage risk• Discover how the principal changes to the Data

Protection Regime will affect you• Stay alert to emerging technologies• Get an update on European and international regulation

HEAR FROM SPEAKERS INCLUDING: POWERED BY:

QUOTE FROM THE CHAIR:

“Risk and compliance in law firms never stand still. The first-class line-up of speakers at this conference address the latest challenges, including Brexit, money laundering, data protection and ethics”

Frank Maher Partner, Legal Risk LLP

Grand Connaught Rooms, 61-65 Great Queen Street, London, WC2B 5DA

Risk Management and Compliance for Law FirmsFuture-proof your legal services business by combating emerging threats LONDON | 6-7 DECEMBER 2016

#ARKRisk16

EARLY BIRD RATES NOW

AVAILABLE

DAY ONE Risk management for law firms

09:00 Registration and refreshments

09:30 Chairperson’s opening remarksFrank Maher, Partner, Legal Risk

REGULATORY UPDATES09:40 Preparing for SRA Handbook change • Early findings from the Looking to the Future

consultation • Next steps • Details of the supporting guidance you will receive • Understanding the impact of Brexit on legal

services regulation Chris Handford, Director of Regulatory Policy, Solicitors Regulation Authority

10:20 Speaker to be announced

11:00 Morning coffee break

11:30 Managing the risks associated with the UK’s exit from the European Union and planning for potential regulatory change Our panel of experts will explore issues such as: • The overall trading environment for law firms

following the Brexit vote • What opportunities has Brexit created for law

firms? What are the concerns? • The impact on EU nationals working in UK law firms • The implications in specific areas such as

competition and privilege • Likely changes to EU regulations • Working with your clients to help them stay

compliant

Moderator: Frank Maher, Partner, Legal Risk Panellists include: Mike Pretty, Head of Compliance, DLA PiperAlison Matthews, Director of Quality & Risk, Shoosmiths Rebecca Harding, Co - Founder and CEO, Equant Analytics and Economist Tracey Calvert, Director, Oakalls Consultancy and regulatory compliance specialist

PARTNERSHIP AGREEMENTS12:10 LLP agreements and minimising risk • Is your LLP agreement fit for purpose? • Tips on best practice

(and potential disasters to avoid) • Minimising risk to the firm and to management

Jeremy Callman, Barrister, Ten Old Square

12:50 Networking lunch break

RISK MANAGEMENT STORIESCASE STUDY13:50 Driving commitment to risk and compliance • Raising the profile and winning support • Building, developing and managing the team

• Creating an effective governance structure – the role of committees

• Choosing and developing effective compliance ‘champions’

• Writing policies that stick

Alison Matthews, Director of Quality & Risk, Shoosmiths

CASE STUDY 14:30 Implementing the three lines of defence in a legal services business

• Similarities and differences between an ABS environment and a traditional law firm structure

• Insights into how DAS Law has developed its strategy to manage risk

• The risk and compliance function – to guide and challenge the business

• The audit function – to guide and monitor • Benefits of having an independent audit function

in a legal services business

Holly Heath, Compliance Officer, DAS Law

15:10 Afternoon coffee break

CASE STUDY 15:40 Cobblers shoes – a risk manager’s approach to supply chain management • Dealing with those we supply to • Checking compliance in the people who

supply to us • Some experiences of a supply chain project

Sarah Mumford, Interim Director of Risk & Compliance, Trowers & Hamlins

EMERGING TECHNOLOGY 16:20 Gaining awareness of disruptive forces in the legal services market and turning them to your advantage • How emerging technologies, such as AI and the

block chain, will impact on law firm risk registers • How AI can be used within the risk and

compliance support function • How compliant robots would be and whether

they would create any new risks to firms? • Legal implications of using artificial intelligence;

how might the law change to regulate robots?

Panellists include: Nicole Bigby, Partner – Director of Risk, Berwin Leighton Paisner LLP Joanna Goodman, Technology columnist and author of ARK’s forthcoming book Robots in LawTania Williams, Commercial Technology Partner, Kemp Little

17:00 Chairperson’s closing remarks

17:10 Close of conference

DAY TWO Regulatory compliance for law firms

09:00 Registration and refreshments

09:30 Chairperson’s opening remarksFrank Maher, Partner, Legal Risk

ALTERNATIVE BUSINESS MODELS09:40 Plus ça change? Will greater flexibility and choice under the proposed SRA handbook changes mean more competitive business models? • Taking advantage of potential flexibility when it comes

to the structure of your firm • Opportunities and threats from possible new

structures, including concerning external investment • Will it foster innovation in the sector? • How can you harness this in your firm? • Identifying and managing structural incentives and

limitations for innovation while remaining compliant • Managing change and transition Nicole Bigby, Partner – Director of Risk, Berwin Leighton Paisner LLP

CLIENT CARE 10:20 Avoiding disruption to provide a seamless service to your clients • What do your clients want from you in terms of service

provision? • Maintaining a 24 hour, global service • Client care and agile working • Cyber risk: running a cyber themed business

continuity eventModerator: Andrew Try, Managing Director, Comxo Panellists include: Justine Cowling, Head of Risk Management, DLA Piper Holly Heath, Compliance Officer, DAS Law Lars Lindencrone Petersen, Knowledge Management Partner, Bech-BruunJuliet Tainui-Hernandez, Partner – Head of Compliance, Norton Rose Fulbright LLP

11:00 Morning coffee break

COMPLIANCE STRATEGYCASE STUDY11:30 Learning from the approaches of other firms towards risk and compliance • Centralised vs. decentralised approaches • Exploring job rotation • The role of the COLP • Are there things large firms can learn from their

smaller competitors? • Floor discussion: how do you approach compliance in

your firm?Heather McCallum, Head of Risk, IBB Solicitors

EUROPEAN & INTERNATIONAL REGULATION 12:10 Money laundering, terrorist finance and sanctions compliance – tackling the changes Irrespective of the impact of Brexit, core requirements of

the Fourth EU Money Laundering Directive bringing into force the 2012 update to the Financial Action Task Force (FATF) requirements will be implemented by mid-2017 at latest. There are consultations currently under way in respect of the Supervisory regime and the SARs regime, which includes consideration of the UK’s consent regime. The UK is due to be inspected by FATF in 2018. This update will consider:

• Update on the Supervisory Regime Review and Home Office/Her Majesty’s Treasury (HMT) action plan for anti-money laundering (AML)/ counter terrorist financing (CTF); proposed changes to the legislation including the Consent Regime

• Beneficial ownership registers • 3 steps to compliance: 1. Preparing a written AML/CTF risk assessment 2. Updating policies and procedures so that they

reflect/mitigate the risks 3. Having a process by which their effectiveness

can be testedSue Mawdsley, Partner, Legal Risk LLP

12:50 Networking lunch break

13:50 Sanctions and trade restrictions update • Managing sanctions lists in your firm • Recent UK sanctions developments • The current international sanctions landscape • Country-based regimes: recent developmentsSusannah Cogman, Partner – Dispute Resolution, Herbert Smith Freehills

14:30 Afternoon coffee break

15:00 Assessing your readiness for the General Data Protection Regulation (GDPR) • Dealing with the elephant in the room – Brexit –

how do things stand in December 2016? • The principal changes to the data protection

regime – how will they affect you? • What do you need to do now to prepare?Catherine Allen, Risk and Best Practice Lawyer, Bevan Brittan LLP

COMPETENCE & ETHICS15:40 Education and training - ethical competence or compromise? The issue of integrity and ethical competence is at

the heart of the risk agenda, following a number of reports and the SRA’s most recent Risk Outlook document. Furthermore, the SRA Statement of Solicitor Competence requires solicitors to understand “The ethical concepts governing the solicitor’s role and behaviour, including as expressed in the law, and the economic, social and cultural influences that can bias independent and ethical judgement.” (SRA Competence Statement – Legal Knowledge). Given such a context, this session will explore:

• Recent policy developments and literature in the professional ethics debate

• What must a firm do in a practical fashion, to ensure that its lawyers have such understanding, not only at the point of qualification but throughout their careers?

• In the new CPD regime, how can ethical competence, and competence generally be supported through training and development

• Can education and training sessions be used to diagnose problems of ethical compromise before they become critical?

• What strategies can be employed to measure and evaluate the effectiveness of training and to demonstrate compliance for regulatory purposes

Jane Jarman, Reader, Nottingham Law School

16:20 Chairperson’s closing remarks

16:30 Close of conference

BOOKING CONTACT DETAILS

Name ................................................ Job title ....................................................................... Organisation ...........................................................

Address .............................................................................................................................................................................. Postcode ......................

Phone ................................................................................ Email................................................................................................................................

DELEGATE DETAILSName Job title Email Day/s

1. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

2. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

3. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

4. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

5. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

6. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

7. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

8. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

9. ...................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

10. .................................................... ...................................................... ....................................................................... [ ] 1 [ ] 2 [ ] both

FULL PRICE• Two days at Risk Management and Compliance for Law Firms: £1195• One day at Risk Management and Compliance for Law Firms: £649

EARLY BIRD SAVER RATES• Two day attendance: Book before 21 October 2016 and pay £995 (save £200)• Two day attendance: Book before 18 November 2016 and pay £1095 (save 100)• One day attendance: Book before 21 October 2016 and pay £549 (save £100)• One day attendance: Book before 18 November 2016 and pay £599 (save £50)

This is to confirm that I’d like to attend Risk Management and Compliance for Law Firms 2016 as indicated above.

Signature ..............................................................................................

Print name ............................................................... Date__ /__ / ____

I have read, understand and agree to the booking conditions

Booking Terms and conditions1. Bookings are subject to availability; in the event of the booking not being accepted by

ARK Conferences Ltd the total amount will be refunded.2. Payment must be received in full prior to the course, or attendance may not be

permitted.3. Payment terms: All clients must pay within fourteen days from date of invoice and

payment must be received in full prior to the course/event. All late bookings where orders are placed fourteen days before an event are payable in full by return and prior to the course/event. Failure to pay in accordance with this clause shall entitle ARK Conferences Ltd without prejudice to any other rights to charge interest at the rate of 8% per annum above the Bank of England (UK) base rate together with compensation for debt recovery cost pursuant to the provisions of The Late Payment of Commercial Debts (Interest) Act 1998 as amended and supplemented by The Late Payment of Commercial Debts Regulations 2002. Please contact Customer Services with any issues regarding clauses 3 or 4 which may delay payment.

4. All speakers are correct at the time of printing, but are subject to variation without notice.

5. If the delegate cancels after the booking has been accepted, the delegate will be liable to the following cancellation charges:

-Cancellationsnotifiedover45dayspriortotheeventwillnotincuracancellationfee. - In the event of a cancellation being between 45 and 30 days prior to the event, a

20% cancellation fee will be charged.

- For cancellations received less than 30 days prior to the event, the full delegate rate must be paid and no refunds will be available. Alternatively a substitute may attend in place of the original delegate provided they are from the same organisation.

6. All bookings submitted by e-mail, fax, post, web or over the telephone are subject to these booking conditions.

7. All cancellations must be received in writing.8. ARK Conferences Ltd will not be held liable for circumstances beyond their control

which lead to the cancellation or variation of the programme.9. ARK Conferences Ltd reserves the right to reject any booking at any time prior to the

event, without explanation.10. Bookings are subject to 20% standard UK VAT charges where appropriate.11. The prices quoted in Euros are the correct conversion rate at the time of print.12. EarlybirdofferscannotbeusedinconjunctionwithanyotherARKConferencesLtd

promotionoroffer.13. All bookings received less than 5 days before the date of the event must be paid for

by credit card.14. ARK Conferences Ltd reserves the right to reject delegate bookings from vendors

and solution providers. Sponsorship and exhibition options are available. Call +44(0)207 566 5794 for more details.

PAYMENT [ ] Invoice me at the provided address[ ] Enclose cheque payable to Ark Conferences Ltd[ ] MasterCard [ ] Visa [ ] American Express Card number ..................................................... Security number .........

Expiry date .................................... Valid from ....................................

Cardholder’s name .................................................................................

Cardholder’s signature ........................................................................... Date__ /__ / ____

[ ] Tick if you do not want to be informed about related Ark Group events and publications

[ ] Tick if you do not want to be informed about carefully selected third party products

RegisteredinEnglandNo:2931372.RegisteredOffice:6-14UnderwoodStreet,London,N1 7JQ. ARK Conferences Ltd is a Wilmington plc Company

Booking Form

BOOKING FORM