Risk Management and Compliance for Law Firms 2017

Register your place at this two-day conference to scan the horizon for potential risks, benchmark your current strategy and processes against your peers', and understand the action you should take today in order to minimise risk and ensure compliance tomorrow.

In association with:


Additional taxes may be applicable


Download the brochure and booking form for this event

09:00 Registration and refreshments

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

09:40 Codifying and embedding ethics
  • Should we be teaching legal ethics?
  • Ethics at the expense of compliance
  • The use and abuse of ethics
  • Getting the ethics message across to everyone in the firm
Iain Miller, Partner – Regulatory, Kingsley Napley

10:20 SRA and PII: In the spotlight again

  • Where are we with the SRA reforms and consultation process?
  • Implications for the profession’s purchasing power and insurance cover
  • Cases on aggregations – recent decisions – what does this mean?

Susanna Heley, Partner, RadcliffesLeBrasseur

10:40 Leigh Day: the case, the costs and the implications
  • The case: background, current updates
  • Lessons learned
Frances Swaine, Managing Partner, Leigh Day 
11:05 Morning coffee break
11:30 Managing your regulatory relationships
  • What does the regulator expect from us?
  • The changing relationship with the SRA
  • How to enjoy a trouble free relationship with the SRA
  • Effective compliance planning techniques 

Tracey Calvert, Consultant, Oakalls Consultancy 



12:10  The client relationship

  • Developing and implementing a project plan
  • Designing a solution and commissioning technology
  • Importance of global out of hours contact

Andrew Try, Managing Director, ComXo

12:50 Networking lunch 


13:50 Managing conflicts of interests

  • Lessons learned: where it went wrong
  • Lateral hiring – unforeseen risks
  • Law firm structures – implications

Frank Maher, Partner, Legal Risk


14:40 Law firm structures
  • Mergers and acquisitions – what are the best structures?
  • ‘One firm’ – or is it just branding?
  • Use of the Swiss Verein structure: financial benefits, professional liabilities
  • Structural implications for risk management, conflict of interests

Aster Crawshaw, Partner, Professional Practices, Addleshaw Goddard

15:20  Afternoon coffee break

15:40 Horizon scanning: The broader regulatory outlook

  • Contrasting current awareness and horizon scanning
  • The wider view: comprehensive, catch all
  • The narrow targeting view: following trends

Alison Devlin, Head of Knowledge, Eversheds Sutherland

Heidi Short, Head of Legal & RegulatoryEversheds Sutherland


16:20 How will law firm business models change?

Our panel of experts will explore issues including:

  • Billable hours: innovative pricing models – what’s in store?
  • Client relationships: develop existing relationships versus client acquisition 
  • How will new technology drive business structures
  • How does risk management play an effective part in change?


George Bisnought, Managing Director, Excello Law


Andrew Hedley, Founder and Director, Hedley Consulting

Christie GuimondR&D Strategy Manager, Ashurst

Edward O'Rourke
, CEO (Partner), Ashtons Legal

17:10 Chair's closing remarks

17:20 Close of Day One


09:00 Registration and refreshments
09:30 Chairperson’s opening remarks
Frank Maher, Partner, Legal Risk

09:40 Latest developments from the Legal Services Board
  • A round-up of news on policy, plans and consultation
Caroline Wallace, Strategy Director, Legal Services Board
10:20 Case study: Managing the risk based approach to GDPR
  • What are the additional obligations?
  • Privacy impact assessments
  • Notifications of data breach
Maxine Reid, Restructuring Partner, Kreston Reeves

Gordon Jones, Partner & Head of Professional Practices, Kreston Reeves
11:00 Morning coffee break
11:30 Anti-money laundering update
  • Five months on: how is the profession responding and adapting?
  • Regulations 18, 19, 20 and 21 – how are you getting on?
  • Treasury approved guidance for the legal sector – where are we up to?
  • Update on Fifth Amending Directive
  • Criminal Finances Act 2017 
Sue Mawdsley, Partner, Legal Risk
12:10 Criminal Finances Act, practical implications since introduction
  • Implications for the new shared information regime
  • Application of the offence in practice
  • Warning signs: HMRC’s view
Paula Ruffell, Tax Investigations Senior Manager, Grant Thornton
13:00 Networking lunch break
14:00 Sanctions update
  • UK expansion of sanctions reporting requirements
  • Recent court rulings
  • Update on EU sanctions 
  • HMT Consultation – what is the future UK model of sanctions?
Michael O'Kane, Senior Partner, Peters & Peters


14:40 Cybersecurity and insurance

  • What cyber security measures are firms adopting?
  • How could some of the breaches of the last 18 months have been prevented?
  • Case studies
  • How could a cyber policy respond to these case studies?
  • How does insurance coverage apply to fines and public policy?
  • How could a cyber policy respond to a GDPR breach?
Henry Gorst, Account Executive, Darktrace
Jamie Monck-Mason, Executive Director, Willis Towers Watson
15:20 Afternoon coffee break
15:40 Cyber security and information challenges
  • Cyber security strategies: law firm client confidentiality
  • Helping your clients to understand and counter the cyber threats
  • Analysing the changing face of digital crime and how your firm can manage the risk
  • How leadership engagement can help you take control of cyber security
Tim Rawlins, Senior Adviser, NCC Group
16:20 AI, automation, business processes and law firm workplace culture
Using AI as power for good, when effectively managed
Our panel of experts will explore issues including:
  • Using technology and existing law to solve social and legal problems
  • Legal remedies for unexpected contractual or liability issues
  • Will workers’ rights be redundant when robots take over?
  • AI and social conscience, unintended consequences
  • EU – robotics regulation framework


Details coming soon


Phil Henson, Partner, ebl miller rosenfalck

Andrew Joint, Commercial Technology Partner, Kemp Little

Joanna Goodman, Legal technology journalist

17:10 Chair's closing remarks

17:20 Close of conference


Full Description

Register your place at Risk Management and Compliance for Law Firms 2017 to:

  • Understand how you should maintain an effective relationship with the SRA to increase transparency and reduce risk

  • Evaluate the need for cybersecurity insurance and establish a process to better protect your firm against cyber attacks

  • Review your approach to conflicts of interest and analyse the implication of ongoing cases

  • Evaluate the practical implications of the new shared information regime (Criminal Finances Act)

  • Identify your obligations under the new General Data Protection Regulation (GDPR)

  • Get an update on EU sanctions

  • Add value to your client relationships, while confidently managing risk

Now in its 14th year, Risk Management and Compliance for Law Firms is the go-to conference for risk and compliance professionals working in medium and large sized law firms. 

Scan the horizon for potential risk, benchmark your current strategy and processes against your peers' and understand the action you should take today in order to minimise risk and ensure compliance tomorrow.

Hear from thought leaders working in risk and compliance, including:

  • Frank Maher, Partner, Legal Risk
  • Iain Miller, Partner - Regulatory, Kingsley Napley
  • Maxine Reid, Restructuring Partner, Kreston Reeves
  • Gordon James, Partner and Head of Professional Practices, Kreston Reeves
  • Paula Ruffell, Tax Investigations Senior, Grant Thornton
  • Michael O'Kane, Senior Partner, Peters & Peters

Save up to £200 on your event place with our early bird saver rates

  • Book before 27 September 2017 and save £100 for one day attendance (£549) and save £200 when you attend both days (£995).
  • Book before 1 November 2017 and save £50 for one day attendance (£599) and save £100 when you attend both days (£1095).

You'll pay the full price of £649 when booking after after 1 November 2017 for one day's attendance, and £1195 for attendance to both days.



ComXo is the leading provider of 21st century switchboard services. We are the voice of 200+ professional service firms across the City of London and beyond. We are experts in delivering an exceptional client experience at the first point of contact, 24seven365 and multi-lingual. Skilled operators assisted by world-class technology provide bespoke switchboard services, fit for the 21st Century global law firm.

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Top industry speakers

Frank Maher

Partner, Legal Risk

Sue Mawdsley

Partner, Legal Risk

Michael O'Kane

Partner and Head of Business Crime, Peters & Peters

Andrew Hedley

Director, Hedley Consulting

Aster Crawshaw

Aster Crawshaw is a partner in Addleshaw Goddard LLP's market leading Professional Practices Group, described as "pre-eminent in terms of overall experience and depth of resource" by the Legal 500. Aster advises professional practices on governance, structuring, partner and risk management issues, with a particular emphasis on international structuring matters. He also advises on mergers, acquisitions, disposals, joint ventures and LLP conversions (both from general partnerships and limited companies). In addition, he works with businesses in the financial services sector, including hedge funds and private equity houses on the use of LLPs and partnerships. Aster's expertise is recognised in both leading directories. Legal 500 has reported that he has "great technical expertise" and "clearly knows his stuff, is friendly, responsive and solution-oriented". Chambers UK ranks him as a leading individual and quotes a client as saying: "he is superb, everything that a trusted adviser should be: commercial, responsive and a pleasure to work with."

Tracey Calvert

Tracey Calvert is the director of Oakalls Consultancy Ltd which provides regulatory compliance services to lawyers. She has worked as a lawyer since 1985 and has experience practicing in a niche shipping law firm as well as for local government. From 1997 – 2011 she was employed by the Law Society and the Solicitors Regulation Authority in a variety of roles including senior ethics adviser in the ethics guidance team and notably in her last role within the policy team where she helped draft the new SRA Handbook. Her areas of specialist knowledge are professional conduct, financial services and anti-money laundering policy. She is the author of various reports published by Ark including “OFR: Compliance in Practice” and “Ethics in Law Firms: A Practical Guide” and another of her books, “Regulation and In-house Lawyers”, was published by the Law Society in 2013.