Annual Compliance Conference 2014

Thursday 1 May 2014, 9.00am – 5.30pm
Lockton, The St Botolph Building 
138 Houndsditch

6 hours CPD
£300 plus VAT per delegate

Compliance rises higher on the management agenda of firms every year. Whilst we are still adjusting to the impact of outcomes-focused regulation and the need to have a COLP and a COFA in every firm, we are facing another difficult year with the PII market and the forthcoming legislation on Anti Money Laundering and Data Protection.

QualitySolicitors have put together this conference to deliver key information on the current regulatory regime and the proposed changes. This conference is aimed at providing essential information for COLPs, COFAs, MLROs and all compliance staff.

We will have a wide range of speakers and to start the day we have Adam Sampson, Chief Ombudsman. The Legal Ombudsman recently released research into the business case for good complaints handling and he will be discussing how it can increase your firm’s profits.

From the SRA we have Sam Palmer, Manager in Regulatory Management and Steve Wilmott, Director of Intelligence and Investigations who will talk about how the SRA approach regulation of high street firms, highlight the work the SRA do to protect the profession and the forthcoming work in relation to AML.

We have put together a panel of COLPs and COFAs from the QualitySolicitors network to answer any questions you may have, whether it is about something being material or not, applying to become an ABS or how to get people reporting incidents to you. If you have a particularly sensitive issue, you can submit your questions to us in advance and we will endeavour to get the panel to answer as many as possible!

Quality is incredibly important to us and we are committed to the Lexcel practice management standard. As such, we have Bryn Hughes from the Law Society speaking about Lexcel and the Law Society’s other accreditations. We will also have Kairen Seaton from the Centre for Assessment who will give you some pointers on preparing for Lexcel assessment.

With the proposed changes in data protection legislation and the constantly evolving threats from increased use of IT, Alison Matthews, the author of the soon to be published Law Society Data Protection Toolkit, will cover the practical issues you need to be considering to protect your firm.

We will also have Brian Boehmer, Partner at Lockton, and his team who will be talking about what insurers are looking for and how to prepare for this year’s PII renewal season.

To end the day Amy Bell, Head of Risk and Compliance at QualitySolicitors, will talk about Anti Money Laundering, the common mistakes she sees fee earners make, and how to prevent this. She will also highlight the proposed changes in the 4th Money Laundering Directive and the changes you can start to make now to be compliant.

We look forward to meeting you at this full day conference.

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