TWO-DAY CONFERENCE

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3-4 DECEMBER 2013
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LONDON
4 easy ways to register
+44 (0)20 7324 2365 events@ark-group.com www.ark-group.com Or see back page for mailing details
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Expert contributions and
strategic insights from:
Desmond Hudson,
Chief Executive,
The Law Society
Samantha Barrass,
Executive Director,
SRA
Chris Kenny,
Chief Executive,
Legal Services Board
Julia Graham,
Chief Risk Officer,
DLA Piper
Chris Perrin,
General Counsel,
Clifford Chance
An authoritative panel of speakers focused on
law firm risk beyond compliance.
Frank Maher,
Partner, Legal Risk

Risk management
for law firms
Five high-level keynote speakers
Four of the leading thinkers on legal services regulation together in
one room
Keynote speakers from the UKs No.1 and No.2 law firm by rank*
Debate and prepare your firm for future regulatory change
Beyond regulation manage the risks your business cares about
Gain practical tools for day-to-day risk and quality management
Implement a risk management framework
Engage your fee earners and support staff sell compliance
Establish an alternative business structure from a risk
management perspective
Devise an effective supervision strategy with practice group flexibility
Align risk with business development; know the risks inherent in your
client concentration
Evaluate the risks when expanding your firm or merging with another
Manage a data breach scenario effectively
Examine the effectiveness of your financial controls
The most prestigious legal risk management conference
* The Lawyer UK 200 2012
LEGAL RISK LLP
S O L I C I T O R S
Sponsor
presents the 10th annual
You cant get a more heavyweight speaker
panel in UK Legal Risk and Compliance
than this one!
Respondents to our survey said that what they most value about
Managing Partners annual Risk management for law firms
conference is its tradition of providing you with the highest level
of speakers. This Decembers conference will not disappoint,
with a programme that features three of the leading lights in UK
legal services regulation as well as insights from those who are
spearheading the risk and compliance agenda in large and
medium sized law firms across the UK, ranging through from the
Magic Circle to ABSs. The risk figureheads from the UKs No.1 and
No.2 law firms, by rank, will both give keynote speeches at this event,
so that you can be sure that you are taking your lead from the front of
the market.
Four powerful regulatory keynotes
Expect an involved debate, as senior heavyweight figures from the
Legal Services Board and the Solicitors Regulation Authority,
reveal high level political discussions about the future of legal services
regulation and are responded to by the profession, represented
by The Law Society, a key member of the City of London Law
Society and the Magic Circle. By attending this annual conference,
traditionally selected by the regulatory bodies for unveiling industry
announcements to the top 200 firms, you can be sure that you will be
one of the first to hear about planned regulatory change and you can
benefit from the opportunity to bring your own views to the table too.
Risks that your business cares about
While regulatory compliance can in no way be ignored, focusing
exclusively on compliance issues might mean that you ignore some
of the other business risks that are keeping your firms leaders up at
night such as:
What risks does your client concentration expose you to?
How could your latest lateral hire affect your risk profile?
Do the risks taken when opening a new office
in an emerging territory weigh up?
Our fifth keynote, the Chief Risk Officer from the UK law firm currently
ranked as No.1, DLA Piper, Julia Graham, returns to this conference
seven years after her appearance at the inaugural event in December
2006, to give her updated perspective on how the corporate concept
of enterprise risk management should apply to law firms. Not
only will Julia encourage you to look at your business development
strategy in the context of your risk management approach but also,
through a collaboration with Louise Fleming, former Risk Partner at
Barclays, you will be introduced to a practical Risk and Governance
Framework that you can use to assess the risk profile of
your business.
Risk management must be a key consideration in any new strategic
direction that a law firm takes and, at this years conference, you can
hear from Jordans, a new alternative business structure about
the SRA application process and the risk management decisions
that were taken by the company in relation to establishing the new
business. With market change being so rapid, theres a good chance
that if you arent currently being asked to advise on setting up an ABS
within your firm, you are instead being asked to look at the merits
and demerits of merging with another firm or at opening a new office
internationally. Andrew Cheung, Director of Compliance at Dentons
returns to Risk management for law firms to relate his experience
of reporting on both of these strategic tasks to his senior management
team. While on a less positive note you may need to ask serious
questions about financial stability, so Robert Mojab of DMH Stallard
will explain from a Finance Directors perspective what you need
to know.
Practical applications and controls
We understand that, while it is important to be aware of forthcoming
regulatory change, and to be involved in strategic decisions in your
firm, most of your day job must necessarily be spent implementing
practical risk management tools and techniques and encouraging
your fee-earners and support staff to comply. For this reason
the 10th Risk management for law firms conference will also
provide practical insight into the day-to-day considerations of your
role including logging non-
compliance; data protection;
information security and anti-
money laundering.
The very best risk
management policy is of no
use if your fee earners and
support staff dont comply
with it. But engaging people with compliance is a hard sell. Our panel
of senior Risk Managers from three top 50 law firms will get to the
bottom of the difficult questions including why are we regulated?;
why is compliance such a hard sell?; and how do you strike the
balance between the need for risk controls and the need
for speed?
With the strongest speaker panel in its ten year history; excellent
networking opportunities and a programme balanced carefully
between strategic risk management, regulatory thinking, and practical
advice, can you afford not to be at Risk management for
law firms?
CONFERENCE
MORE INFO
WHY THIS EVENT?
Those responsible for the strategic and operational management of risk in
UK law firms, including those with practical responsibility for implementing
the frameworks and tools to manage risk and compliance.
Who should attend?
An excellent summary
of where we are, and the
risks concerning firms.
Jemma Ralph,
The Law Society

Past event feedback

Further expert contributions and strategic insights from:

CONFERENCE
AGENDA
TUESDAY 3 DECEMBER 2013
|
TEL +44 (0)20 7324 2365
|
E-MAIL events@ark-group.com
09:00 Registration and refreshments
09:30 Chairs opening remarks
Frank Maher, Partner, Legal Risk
THE FUTURE OF REGULATION
09:40 KEYNOTE 1 | What shape will regulation of the legal
services industry take in the future?
Comments on the Ministry of Justice Review
Chris Kenny, Chief Executive, Legal Services Board
10:20 KEYNOTE 2 | The regulators view: Current challenges
and future perspectives
Samantha Barrass, Executive Director, Solicitors
Regulation Authority
11:00 Morning coffee break
11:30 KEYNOTE 3 | Responding to the Ministry of Justice
Review of Legal Services Regulation: A law
firm perspective
Chris Perrin, General Counsel of Clifford Chance, has been
instrumental in considering what the response of the City of
London Law Society to the Ministry of Justices review should
be. Hear his views on the shape that future regulation of legal
services in the UK ought to take and benefit from an opportunity
to contribute your thoughts.
Revealing inefficiencies in the current framework
Starting again from scratch; what would a sensible
framework look like?
Proposing a single regulator with differentiated approaches
tailored to the specific needs of different parts of the sector
Chris Perrin, General Counsel, Executive Partner and COLP,
Clifford Chance
A RESPONSE FROM THE LAW SOCIETY
12:10 KEYNOTE 4 | Feeding into the emerging regulatory
debate: What are the key questions?
Lightening the load the case for a more proportionate
regulatory approach?
Desmond Hudson, Chief Executive, The Law Society
12:50 Networking lunch break
ENGAGING FEE EARNERS AND SUPPORT STAFF
13:50 PANEL | The hardest job: Selling risk and compliance
into the firm
Why is it so hard to sell compliance to lawyers? Whats in it
for me?
Drawing a parallel with the SRA selling compliance to
law firms
Why are we regulated? Making the UK a great place to buy
legal services
Risk versus speed striking the right balance between
imposing frameworks and allowing lawyers to get on with
their jobs
Facilitated by:
Clare Jaycock, Director of Risk and Compliance, RPC
Panelists include:
Annette Fritze-Shanks, Head of Risk Management,
Taylor Wessing
Peter Rogers, Lead Professional Regulation Advisor,
Osborne Clarke
STRUCTURAL CHANGE
14:30 CASE STUDY | Establishing an alternative business
structure (ABS)
Making the decision determining the benefits of becoming
an ABS; risks and rewards
The application stages business plan, risk framework
and strategy
Segregating a new business from an established
business framework
Lessons learned for the applicant and the regulator
Kathleen OReilly, Head of Internal Legal Services and Chair
of Law Societys Company Law Committee, Jordans
15:10 Afternoon coffee break
RISK CONTROLS
15:40 Logging non-compliance
In this talk, Elizabeth Davies, Conduct & Regulatory Officer at
Irwin Mitchell will explain how this growing regional law firm has
used the logging of non-compliance as a means to:
Identify, monitor and control breaches of the SRA Handbook
and legislation
Comply with reporting requirements of COLP/COFA
Identify patterns of behaviour and target resource in a
proportionate and risk-based manner
Elizabeth Davies, Conduct & Regulatory Officer, Risk &
Compliance Team, Irwin Mitchell
INTERNATIONAL AND EXPANSION RISK
16:20 Managing the risks of international expansion
Conducting a risk assessment of the new territory or
partner firm
Understanding the different models and structures for
expansion and the risks that follow
Combining the cultures of two different firms
How do you work together? Seeking the holy grail of
common risk standards
Managing risks globally
Andrew Cheung, General Counsel, EMEA Region, Dentons
17:00 Chairs closing remarks
17:10 Close of day one

Attendance at this conference qualifies for 12 hours of SRA accredited
CPD (at intermediate/advanced level). To claim your hours, quote provider
code: EEW/ARCL.
CPD information
CONFERENCE
AGENDA
WEDNESDAY 4 DECEMBER 2013
|
WEB www.ark-group.com
|
OR see back page for mailing details
09:00 Registration and refreshments
09:30 Chairs opening remarks
Frank Maher, Partner, Legal Risk
NEW RISKS
09:40 Emerging and potential risks: Looking beyond
the horizon
In this interactive session, Tim Livesley, Chief Economist and
Risk Analysis and Research Manager at the SRA, will look at
what the emerging and potential risks are, through a series of
scenarios, and at how environmental factors and firm behaviour
might impact on these.
Tim Livesley, Chief Economist and Risk Analysis and
Research Manager, Solicitors Regulation Authority
INSURANCE UPDATE
10:20 Professional indemnity insurance market overview
Review of 2013 renewal
The impact of the ending of the ARP
(assigned risks pool)
The impact of collapse of
unrated insurers
Recent and larger claims
The future of Solicitors PII
Other key exposures
Colin Taylor, Executive Director, Finex Global, Willis
11:00 Morning coffee break
ENTERPRISE RISK MANAGEMENT
11:30 EXTENDED SESSION AND KEYNOTE 5 | Beyond
regulation: Enterprise risk management for law firms
Julia Graham, Chief Risk Officer of DLA Piper first addressed
this conference on enterprise risk management seven years
ago. In the meantime there has been a lot of change in the
field of law firm risk management, particularly in the regulatory
sphere, and yet, many of the original business risks remain
challenging. We invite Julia to return to the conference and give
her view on enterprise risk management in legal today. Julia will
be joined by Louise Fleming, former Risk Partner at Barclays,
who will present an enterprise risk framework, as a practical tool
for law firms to use.
The extent of regulation what risks does the business
worry about?
Client concentration and management
Balancing business development strategy with your risk
management approach
Examining your financial controls
Practical frameworks for enterprise risk management
Julia Graham, Chief Risk Officer, DLA Piper and Louise
Fleming, Executive Director, Kingsmead Square
12:50 Networking lunch break
FINANICAL STABILITY
13:50 Securing financial stability: What does a top 200 risk
manager need to know?
Putting effective financial controls in place
Asking the right questions
Who is responsible? What is the liability of:
Partners 1.
Salaried employees 2.
Robert Mojab, Finance Director, DMH Stallard
ANTI-MONEY LAUNDERING
14:30 People risk: Understanding the risks of lateral hiring
and lateral exits
Conducting an effective risk assessment of a proposed
lateral hire
How will the lateral hire alter your client concentration?
Pre-empting client and data loss when one of your
partner leaves
Toni Lorenzo, Partner, Lewis Silkin
15:10 Anti-money laundering update
Update on the latest developments on anti-money
laundering including:
Developments relating to the proposed Fourth EU Anti-
Money Laundering Directive
Fines, cases and other relevant developments
SOCA update and the transition to the NCA
Data protection regulation conflicts
Sue Mawdsley, Partner, Legal Risk
15:50 Afternoon coffee break
DATA PROTECTION AND INFORMATION SECURITY
16:20 The first seven days of a data breach: What should
you do?
What happened? What was lost?
The containment and recovery plan
Assessing the risks
Informing appropriate people
Reviewing your response
Prevention making sure there isnt a next time
Sarah Mumford
17:00 New risks and challenges emerging from the Cloud
Are law firms a weak link?
The Cloud in a non-technical nutshell
Risks arising from the Cloud model
The conflict between national regulatory regimes and
globalised Cloud infrastructure and an increasing level of
data outsourcing
Raising the profile of cyber risk internally
Mark Johnson, Chairman, The Risk Management Group
17:40 Chairs closing remarks
17:50 Close of conference
CONFERENCE
3-4 DEC 2013
LONDON
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