Programme

08:30  Registration and coffee

09:00  Opening remarks from the Chair
Pat Archbold, Head of Risk Practice, IntApp

09:10  Solicitors Regulation Authority perspective
• Objectives of the new Solicitors Regulatory Board 
Charles Plant, Incoming Chairman, SRA
Samantha Barrass, Director of Corporate Regulations Projects, SRA

09:50  Regulating for competition
• Framework for developing alternative business structures
• Dealing with overlapping jurisdictions
• LSB role in developing ABS
 
 Fran Gillon, Director of Regulatory Practice, Legal Services Board

10:15  Leveraging new technology to better mitigate risk: how to fine-tune your firm's new business inception machine?
• Challenges of bespoke, best of breed approaches
• Changing market dynamics, and emerging law firm requirements
• Leverage proven technology to automate and improve new business inception, lateral hires, conflicts management and information barriers processes
• Turn your risk department from a cost centre to a competitive advantage for your firm 

Alp Hug, Senior Vice President, Products & Chief Marketing Officer,  The Frayman Group

10:55  Morning coffee and networking

11:15  PANEL DISCUSSION: Market abuse directive and insider dealing
• Confidentiality policies, insider lists, dealing rules, access and information barriers
• Understanding the typical profile of insider dealers - what can be learnt generally from recent cases and studies in this area
• What policies and processes a firm might think about having in place to protect against/discourage insider dealings

Chairperson: Heather McCallum, Partner, Head of Risk and Compliance, Allen & Overy
Panellists:
Sarah de Gay, Head of Compliance, Slaughter and May
Christopher Andrews, Director of Risk Management, Simmons & Simmons
Antoinette Jucker, Partner, Pinsent Masons LLP
Jo Riddick, Head of Risk Management, Macfarlanes LLP

11:50  Managing insider risk and addressing FSA insider list management requirements
• Review of FSA insider tracking requirements and how MAD mandates vary across geographies
• Understanding risks and challenges posed by information technology
• Ensuring internal awareness, confidentiality and information barrier enforcement
• Addressing FSA requirements by automating insider list creation, tracking, updates and reporting
• Positioning firm capabilities to clients as a differentiator
 
Pat Archbold, Head of Risk Practice, IntApp

12:30  Lunch

13:30  Likely impact of the Bribery and Corruption Bill
• What the new bill will cover and the expected impact it will have
• Why we need such a reform – how was the previous legislation insufficient?
• How would it make a difference? - especially after cases such as BA 

Valerie Davies, Partner and Global General Counsel, Norton Rose

13:55  Data protection compliance for law firms
• Are law firm's controllers or mere processors?
• Notifications - getting this right and recent changes to the fee structure
• Using third parties - confidentiality and consent requirements
• International data transfer - mechanisms to legitimise transfer including the use innovative tools such as Binding Corporate Rules
• Security and technology - new opportunities and risks

Dyann Heward-Mills, Risk Lawyer, Linklaters

14:20 ‘What’s in your documents?’ – Exposing the risk to your firm from hidden document metadata
• What is metadata and how does it get there?
• Metadata legislation and risk
• Best practice for managing metadata

Frank Boening, Vice President Europe, Workshare
Stephen Mason, Barrister, Chambers of Stephen Mason

14:50  Anti-money laundering and risk management 
The Treasury is currently reviewing the regulations to see the alternative ways to prevent money laundering.  In addition the House of Lords EU Committee also produced a report on money laundering and terrorist financing to which the Government has responded.
• The key problems, including reliance, the risk-based approach towards beneficial ownership and the "all crimes" test
• What changes can be made?
• How will these be implemented?
 
 Suzie Ogilvie, Head of Anti-Money Laundering, Freshfields Bruckhaus Deringer LLP

15:20  Afternoon tea 
  
15:40  PANEL DISCUSSION: Changes in legal business in the UK: SRA Assessments 
• How should the SRA regulate large, international firms in comparison to the medium or smaller firms?
• Feedback from SRA audits and preparations for assessments
• Testing the regimes and regulations that might be put in place by the SRA
Panellists:
Hazel Ryan, Risk Director, Eversheds
Julia Graham, Chief Risk Officer, DLA Piper
Michael Walkington, Head of Law & Compliance, Linklaters

16:20  Professional Indemnity
• Who is using liability caps?
• What is the latest on whether they work?  Do the Courts like solicitors using them?
• What kind of work are they best suited to?  And where are they not appropriate?
• What does the future hold for lawyers capping their liability?
 
  William Glassey, Partner, Mayer Brown

17:00   Closing remarks from the Chair

17:10   Close of conference