The Liver Building

ONLINE: 2020 Compliance Conference


Speaker: Various

Date: Wednesday 3rd June, 2020

Time: 09:30 - 15:30

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


Course Code: S4291


It is now more important than ever to stay on top of what good compliance looks like and to show precisely how you demonstrate your best practice to third parties. 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.

Kindly sponsored by:


Midshire is a leading provider of Managed Print Services, Audio Visual technology, Document Solutions, and IT Services. A proud sponsor of Liverpool Law Society, Midshire has over 12,000 installations across the UK and is committed to bringing customers quality, innovation and the latest in document security, a key requirement for law firms. For further information please visit:

Marsh JLT Specialty

Marsh is a world leading insurance broker and risk adviser. With over 35,000 colleagues operating in more than 130 countries, Marsh serves commercial and individual clients with data driven risk solutions and advisory services. Marsh is a business of Marsh & McLennan Companies (NYSE: MMC), the leading global professional services firm in the areas of risk, strategy and people. 

Registration / log in

Welcome & introduction ~ Mickaela Fox, Partner, Weightmans LLP

When things go wrong ~ Frank Maher, Partner, Legal Risk LLP

  • The SRA’s guidance following Howell Jones & Co (Putting matters right when things go wrong and own interest conflicts)
  • Reporting obligations

Update on the SRA’s Standards and Regulations ~ Benedict Fisher, Head of External Communications, Solicitors Regulation Authority

  • A refresher on the key changes for law firms and solicitors
  • An update on some of the common issues and queries since implementation

Comfort break

What does unreasonable service look like? How do you decide on remedies? ~ Mariette Hughes, Head Ombudsman, Legal Ombudsman

  • Share the latest LeO data on complaints
  • Use case studies to explore the difference between unreasonable, reasonable and good service
  • Look at the process LeO uses to decide on remedies

Prevention and Damage Limitation effects of clear retainer letters ~ Victoria Prescott, Marsh JLT Specialty

  • Current case law
  • “Causes” of claim – do retainer letters have an impact?
  • Claim Survey data – work areas and retainer/scope documentation
  • Taking action


Comfort break

Ready for Renewal? – Deborah Sullivan, Principal Associate, Weightmans LLP

An overview of the key issues that firms need to address on renewal:

  • How much and what types of cover does your firm really need? Is cyber insurance for you?
  • Tips on how to stand out in the renewal beauty parade.
  • What needs to be notified before the current insurance expires?

Understanding the importance of legal ethics ~ Iain Miller, Partner, Kingsley Napley

  • What do we mean by legal ethics?
  • Ways to use legal ethics to improve firm cultures and avoid SRA enforcement

Operational compliance: problems we see at the coalface and how you can avoid them! ~ Brian Rogers, Access Group

This session will take a look at some key areas of non-compliance that we see when providing our file review and complaint services, including:

  • Failure to carry out client risk assessments
  • Lack of appropriate AML checks
  • Poor file management

The presentation is intended to provide you with a insight into some of the common problems we find in law firms that could ultimately lead to complaints, claims and focus from your regulator; we will also provide you with our thoughts and suggestions on what you could do to avoid them happening in your firms.

Summary & thanks ~ Mickaela Fox

Speaker Biographies

Mickaela Fox has 17 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 has acted for a number of large national firms and is well regarded for her skill and expertise in the conduct of complex, high-value indemnity cases. Over the years she has advised on claims involving trusts, taxation, banking, property and fraud. Mickaela advises on coverage and policy issues and acts as a consultant to law firms who require compliance advice as part of the Compli team. 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.

Mariette Hughes has a degree in Modern European Languages. She has an extensive background in working in customer service and office manager roles prior to joining the Legal Ombudsman as an investigator in 2014. Mariette was appointed to the role of Ombudsman in 2016 and has a strong knowledge of conveyancing. Mariette’s area of focus as a Senior Ombudsman is operational transformation, which involves identifying learning from our business processes and driving changes to improve our efficiency. She is also responsible for stakeholder engagement, research, feeding back to the profession and policy development, and speaks regularly at conferences and events in the legal sector.

John Kunzler

Frank Maher is a practising solicitor and partner in Legal Risk LLP, solicitors specialising in professional regulation and professional indemnity.  He advises major US, European and UK 100 law firms, their insurers and members of other professions. He has over 35 years’ experience of defending many of the UK’s largest law firm claims for insurers.  His claims experience includes many involving conflicts, and he has even advised on a claim arising from a death penalty. Frank is ranked in Band 1 by Chambers and Partners for professional discipline and for professional liability.  Legal 500 says he is ‘in a league of his own’.

Iain Miller is a partner in Kingsley Napley LLP.  He specialises in public law and regulation with a particular emphasis on the regulation of lawyers and law firms.  He is General Editor of Cordery on Legal Services and Chair of the Association of Regulatory and Disciplinary Lawyers. Iain is a member of the Advisory Board of UCL’s Independent Review of Legal Regulation.  He is also a member of the City of London Law Society’s Professional Rules and Regulation Committee.

Victoria Prescott  specialises in risk and claim reduction in the FINPRO PI area at Marsh JLT Specialty and delivers risk management advice and consultancy for UK and global law firm clients. She joined Marsh in 2019 from Libra Managers where she was an Associate Director in the PI Risk and Claims Team. Prior to that role Victoria worked in private practice for six years dealing with professional indemnity claims and also in general practice at the Bar for seven years. Victoria is a Barrister and has a Master of Arts Law degree from Cambridge University.

Brian Rogers is Regulatory Director in the Digital Learning & Compliance Division at The Access Group. He created the Riliance risk and compliance system and was the founder of Riliance Software Limited, which was acquired by The Access Group in March 2019. He worked in law firms for 20 years as a senior management executive and ended his ‘legal’ career as a non-lawyer partner. He was Chair of Regulatory Affairs at Manchester Law Society from 2010 – 2012, and since then has advised law firms and other regulated and non-regulated businesses on regulatory, risk and compliance matters.

Deborah Sullivan is a principal associate at Weightmans LLP and has specialised in professional indemnity work since qualifying as a solicitor in 1998.  She has extensive experience of acting for solicitors in professional negligence claims arising from a wide range of underlying subject matters. Deborah frequently deals with lenders’ claims and cases involving complex commercial transactions. Drawing upon her claims handling experience, Deborah also advises other professionals about risk management and compliance issues. She has had a number of risk-management articles published in the legal press and has also dealt with outsourced complaints work and disciplinary issues.

Carol Westrop,Head of Legal Policy, Solicitors Regulation Authority




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