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Compliance & Regulation for Law Firms - 2024 Virtual Conference

Compliance & Regulation for Law Firms - 2024 Virtual Conference

Session

11 Mar 2024

10:00 AM

4:15 PM

With a SmartPlan £486

With a Season Ticket £540

Standard price £720

All prices exclude VAT
A; C; D
Level
Update: Requires no prior subject knowledge
CPD
5 hours
Group bookings
email us to discuss discounts for 5+ delegates

Introduction

Chaired by Trevor Hellawell, this live broadcast conference with a panel of leading experts offers a comprehensive update as to the current hot topics in this fast-moving area.

Each session will provide a full opportunity for questions and answers.

Conference Agenda

This live and interactive 5 hour conference will cover the following:

10am-11am: What’s new in AML?

Chair: Trevor Hellawell

The session will cover the following:

  • Recent guidance on sanctions
  • Recent guidance on SLAPP litigation
  • New LSAG
  • New PWRA inclusions on counter-proliferation financing
  • Update on Economic Crime Acts

Morning Break

11:10am-12:10pm: Continuing Competence and Compliance Training

Joanna Morris

In January 2023 the SRA stated that anyone not taking continuing professional development seriously can expect enforcement action. The SRA plan to be more proactive in this area including conducting thematic reviews.

What do your continuing compliance records look like? Is this relevant just for solicitors or for anyone employed in the firm?

In this session we will look at:

  • What is meant by ‘continuing competence’?
  • What the SRA Codes of Conduct say about competency
  • The four areas of the SRA Framework
  • How to plan and identify training needs
  • What activities do I choose?
  • Recording of the activities
  • Is training in some topics mandatory?

12:10pm-1:10pm: Essential Compliance Communications with Clients

Tracey Calvert, Oakalls Consultancy

This session will be an exploration of the necessity for clear communication with the client about regulatory topics, dealing with such issues as:

  • What the SRA expects - the link with competency standards
  • Who is my client?
  • Client instructions - what is proper and what must be challenged?
  • Taking instructions from a representative - compliance conversations
  • Retainer discussions
  • Information which must be given to the client
  • Costs discussions
  • Complaints information
  • Risk management considerations
  • Essential compliance communications

Break for lunch

2-3pm: The New Wellbeing Rules and Challenging Behaviour

Rebecca Atkinson, Howard Kennedy LLP

This session will cover the following:

  • The 'culture cases'- cases where firm culture has gone wrong
  • Where culture is mentioned in the SRA regulatory framework
  • SRA thematic review and what was found
  • The new Code rule and SRA workplace environment guidance to include:
    • What does 'treating colleagues fairly and with respect' mean?
    • What does 'colleagues' mean?
    • What does 'challenge behaviour' mean?
    • When will the SRA take action?
  • Scenarios to illustrate application of the new rule

Afternoon break

3:15-4:15pm: SARs Update

Trevor Hellawell

The session will cover the following:

  • Recent rule changes post-2019
  • VAT and disbursements
  • Role of the reporting accountant
  • Acting without integrity
  • Benchmarking for improved quality

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.