SRA Regulatory Compliance for In-House Lawyers 2017

Register your place at this one-day conference for in-house legal departments to establish best practice compliance with SRA regulation; take advantage of the continuing competence regime; and alleviate cost pressures in your legal department.

In association with:


Additional taxes may be applicable


09:00 Registration and refreshments

09:30 Chairperson’s opening remarks

09:40 Preparing for the future: the Legal Services Board's view of the regulatory landscape and other developments

  • Policy developments in legal services regulation
  • Developing innovation, competition and growth
  • The LSB's Vision Paper. its next three year strategy and the CMA's Legal Services Market study

Caroline Wallace, Strategy Director, Legal Services Board

10:20 Continuing competence regime

  • Who is responsible for compliance with the continuing competence regime?
  • What competencies do you have to demonstrate?
  • How do you demonstrate competency?
  • How can the new regime work best for you and your organisation?

Nicola Jones, Director at Athena Professional, Improving Business Performance Through People

11:00 Morning coffee break

11:30 Responding to the FCA discussion paper

  • Where are we right now with the FCA's discussion and industry response?
  • Capturing the in-house lawyer into the Senior Managers and Certification Regime
  • Addressing potential conflict with the role of legal advisor
  • Managing the additional regulatory burden

Chris Whittaker, Associate, DLA Piper

12:10 Best practice advice from an SRA regulated law firm

  • Process and implementation of SRA regulatory code
  • Hints and tips for working with the SRA: ethics and human rights and their relationship with risk and compliance
  • Developing your corporate policy

Sarah Lucey, Head of Risk & Compliance, Weil, Gotshal & Manges (London) LLP

12:50 Networking lunch 

13:50 The changing relationship between in-house lawyers and their regulator 

  • Assessing 2016 regulations to ensure in-house buy-in
  • Evaluating your risk and reviewing your business conduct
  • Using the SRA resources as a guide for restructuring your in-house team
  • Addressing the FCA conflict of interest

Tracey Calvert, Director, Oakalls Consultancy

14:30 Effective regulatory and compliance strategies

  • Handling and prioritising multiple regulatory challenges
  • Balancing commercial requirements and local jurisdictional demands
  • When to instruct external counsel

Gordon Youngson, Senior Legal Counsel, Euroclear UK and Ireland

15:00 Afternoon coffee break

15:30 Managing and solving the compliance challenges of tax evasion

  • When does tax avoidance become tax evasion?
  • Employee tax evasion: developing robust operational procedures
  • Criminal Finances Bill – progress and implementation

Tim Harris, Supervising Associate, Simmons & Simmons

16:00 In-house business opportunities

  • Expanding the practice
  • Developing business and commercial strategies for internal and external benefit
  • The in-house team as an integral part of career development

Pearl Moses, Head of Risk and Compliance, The Law Society

16:30 Technology as an enabler for the in-house lawyer

Our panel of experts will explore the issues, including:

  • Evaluating and using AI for compliance
  • Are internal corporate relationships inhibiting new technology take-up?
  • Developing a technology strategy which delivers value

Panellists include:

Joanna Goodman, Technology columnist

Matthew Whalley, Director – Legal Risk, E&Y

Chrissie Lightfoot, Entrepreneur Lawyer, author, speaker

17:10 Chairperson’s closing remarks

17:20 Close of conference



Full Description

The SRA Regulatory Compliance for In-House Lawyers conference combines the expertise of the oversight regulator, general counsel and senior legal practitioners. The event’s sessions deliver solutions to evolving regulatory challenges while exploring new business potential in an increasingly competitive environment. 

Speakers from the Legal Services Board and The Law Society have confirmed their sessions at this year's conference, all with the aim of helping you establish best practice compliance with the SRA and improve the everyday success of your legal department. Not only that, but for 2017, there are new sessions on the fast developing conflict of interest issues and the emerging pitfalls around ongoing tax evasion compliance burdens.

Why attend?

  • A keynote address from the Legal Services Board, allowing you to prepare and align your regulatory procedures
  • Benchmark your own practices with corporate strategies; ethics and the SRA regulatory code
  • Effectively manage the competing challenges of an evolving multi-regulatory environment
  • Avoid the new compliance pitfalls, with the advent of oncoming tax evasion regulations
  • Exploit the ongoing business potential of in-house counsel
  • Evaluate the threats and opportunities of new legal technology with an expert panel