The Liver Building

2019 Compliance Conference *SOLD OUT*


Speaker: Various

Date: Wednesday 22nd May, 2019

Time: 09:30 - 16:15

Areas of Law: Civil Litigation; Company & Commercial; Criminal; Employment; Family; Management; Personal Injury; Property; Wills, Trust, Tax & Probate

Liverpool Law Society,
2nd Floor Helix,
Edmund Street,
L3 9NY

Course Code: S4150


 This conference will be your one-stop shop for best practice legal regulatory compliance and will give you practical support to help you stay ahead.


Welcome & introduction ~ Mickaela Fox

Reporting Concerns ~ Mickaela Fox

  • The new rules
  • Reporting v Investigation
  • Whistle-blowing
  • NDAs

SRA New Standards and Regulations ~ Chris Hanford, Director of Regulatory Policy, SRA

  • Update on the SRAs Handbook review
  • Other regulatory reforms and areas of interest



GDPR and Data Protection for law firms ~ Megan Duncan, Senior Policy Officer, & Richard Syers, Principle Policy Adviser, Policy & Engagement, ICO

  • What are the key points of the GDPR and the Data Protection Act 2018?
  • How will law firms be affected?
  • What are the key data protection risks in the legal sector?
  • Tips on how to manage and report data protection breaches
  • Other DP related issues (e.g. PECR)
  • What is the future of data protection law?

Raising Risk Awareness ~ John Kunzler, Marsh JLT Specialty

  • A brief overview of the Lloyd’s Review & the intended SRA PII review
  • The benefits of a Risk Aware culture and how to achieve one?
  • How do we make the COLP’s life easier?
  • The true cost of PII claims – it’s not just increased premiums
  • Client and Matter Management – matter opening, service delivery and managing client expectations
  • Documents and File Management – behaviour and file review
  • Cyber and email usage
  • Duties under the PII Policy
  • Complaints/Claims/Circumstances
  • Complaint dos and don’ts


Handling complaints effectively ~ Shazia Zamir, Teal Consulting Ltd

  • The rules
  • Recent trends
  • COLP/COFAs – systematic issues
  • How to manage complaints
  • Case study and checklist


SRA Handbook & price transparency ~ Pearl Moses, The Law Society

This session is specifically designed with practical steps in mind will help you prepare for the changes ahead:

  • Practice healthy risk management
  • Preparing for the new rules
  • Draft plans in embryo
  • Culture reviews


Anti Money Laundering Update ~ Jo Morris

The MLR2017 have been in force for nearly two years bringing with them quite a few changes for us to make in relation to, for example, PEPs, enhanced CDD, risk assessments and policies, procedures and controls.  We have 5MLD being implemented and 6MLD to be in force by December 2020 so more changes are afoot.  This session will look at the following:

  • The MLR 2017 – key points
  • What have we got in place to ensure compliance with the new regulations
  • 5MLD and 6MLD – moving into the future
  • An update and some facts, figures and cases from the SRA, NCA, OPBAS and OFSI

Summary & close

Speaker Biographies

Megan Duncan is a Senior Policy Officer in the Private and Third Sector Policy and Engagement Team. She joined the ICO in October 2018 having previously practiced as a litigation solicitor for 8 years. Megan is the sector lead for the legal sector along with the finance and insurance sector.

Mickaela Fox has 20 years’ PQE and became a Partner in 2005. She specialises in solicitors’ and valuers’ indemnity claims and regulatory work. Chambers and Partners name her as a leader in her field. Mickaela was responsible for the launch of the firms’ risk management consultancy service for lawyers and has been instrumental in the development and growth of Compli.

Chris Handford, Director of Regulatory Policy, SRA. As Director of Regulatory Policy, Chris is responsible for leading the SRA’s current programme of reforms which are designed to remove unnecessary regulation, improve public access to legal services and allow flexibility for legal services in how they structure and deliver their services. With more than 15 years’ experience in the legal service sector, Chris was previously Head of Research and Development at the Legal Services Board.

John Kunzler

Joanna Morris has over thirty years’ experience working in solicitors practices from being a legal cashier to a practice manager.  Joanna is a consultant having previously worked in a top 40 law firm as a Risk and Regulatory Compliance Training Manager.  She has also worked as the Finance Compliance Manager for the first Alternative Business Structure (ABS) in Wales.  She is a Diploma member of the Institute for Legal Finance and Management (ILFM).  Joanna is a qualified NVQ assessor and holds a Certificate in Education for Teaching in the Lifelong Learning Sector.

Pearl Moses is Operational Director of Member Services Development at the Law Society, leading a team working to develop and streamline products and services for the solicitor profession. Building on her previous experience in private practice, legal publishing and more recently as Head of the Risk and Compliance Service at the Law Society, Pearl is a distinguished commentator and consultant on legal regulatory and compliance issues.

Richard Syers is a Principal Policy Adviser within the Engagement Department of the Information Commissioner’s Office. He has wide experience in frontline information rights regulation, having held positions across the ICO, including Policy & Engagement, Enforcement and Complaints. Richard currently leads the ICO’s general strategic engagement with stakeholders in the Journalism and Media sectors. Prior to this, he lead the ICO’s engagement with the Legal, Financial Services and Energy and Utilities sectors.

Shazia Zamir, Teal Compliance Ltd has over 20 years expertise in the Legal, Financial and Law Enforcement sectors and has developed the perfect platform on which to build a successful career in the field of risk and compliance. As a Compliance Consultant, her aim is to share this expertise with you.



Member £205
Non-member £260
Corporate Member Training Offer 2 Credits
Training Season Ticket Free
Note: 20% VAT added at checkout