The Liver Building

2021 Compliance Conference


Speaker: Various

Date: Wednesday 9th June, 2021

Time: 09:30 - 15:00

Areas of Law: Management


Course Code: S4552


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.

Can’t make the date/time or need to revisit the training? No problem, booking onto this event means you will receive a link to access a recording of the event at your leisure! The link will be sent within approx 72hrs of live broadcast & be available for approx. 3 months, to view as many times as you wish.

Sponsored by

Bytes provides leading insights, expertise and support. We enable effective and cost-efficient technology sourcing, adoption, security and management of software, hardware and cloud services.

Our UK business began in 1982 and has grown profitably each year to reach a turnover of over £500m, making us one of the largest software solutions businesses in the country. Our customers include major brands across retail, media, finance, manufacturing, legal, healthcare and the public sector. We work closely with world-class IT vendors and regularly receive honours from them, in addition to being named a Sunday Times Best Company to Work For 2020.

PIB Insurance Brokers are one of the UK’s leading independent insurance broking groups with wide connections within the legal profession.

With their breadth of specialist knowledge, nationwide network and access to markets both locally and in London, they are well placed to support solicitors and their clients with a range of products and solutions.

Log In

Welcome & introduction ~ Mickaela Fox, Partner, Weightmans LLP

Anatomy of a crisis: a case study with self-reporting issues ~ Frank Maher, Legal Risk

  • Cyber fraud
  • Reporting obligations
  • Common regulatory breaches
  • Insurance issues
  • Traps for the unwary

Effective Supervision post covid 19 & lockdown ~ Pearl Moses, The Law Society

Law firms face an unprecedented challenge brought about by the COVID-19 pandemic. With intermittent periods of local ‘lock-downs’ and social distancing likely to continue into next year, legal businesses have no alternative than to innovate to ensure they meet their regulatory obligations while offering some remote working.


  • What supervision looks like from a distance
  • How to ‘future proof’ your firm with some people in the office and some working from home
  • What will this look like going forward and how can managers, COLPs and supervisors manage it?

comfort break

SRA regulatory update ~ Natalie Darby, SRA

  • Findings from the one-year Transparency Rules evaluation
  • Improving consumer information post-CMA progress report
  • Update on the evaluation of the Standards and Regulations

Detect, Govern, and Secure Your Data ~ Steve Marshall, Head of Bytes Cyber Consulting

While we saw 2020 as the ‘Year of Remote Working’, it is apparent that this is only the beginning of this trend becoming a reality for the rest of our working lives, specifically within the Legal sector. It is expected that the percentage of workers remotely working will double in 2021, and with this reality, it is important that businesses data is fully protected against new working styles.  Looking at:

  • Detecting where are you storing your data, how are you accessing it, and who in your business has access to certain data
  • Securing your infrastructure against a physical breach or inside threats

comfort break

The importance of ethics and culture in modern law firms ~ Iain Miller, Kingsley Napley

  • The importance of culture and ethics in managing risk in a law firm
  • How this is an area of interest of the SRA under the 2019 STAR

The new SRA Accounts Rules – 18 months on ~ Robert Blech

This session will look at the impact on the SRA Accounts Rules which came into effect on 25 November 2019 on law firms. It will cover what has changed and what has not, what affect their introduction has had on legal practices and the impact of the guidance issued, both on the rules release and subsequently. The session will also look at what Reporting Accountants have found when reviewing their client’s records since the introduction of the new rules and ask whether firms really understand what is different.

  • The Key differences between the new and previous Accounts Rules
  • How law firms have adapted to the new Accounts Rules
  • Guidance and interpretation of the new rules following their adoption
  • What we have seen as reporting accountants following the introduction of the new rules
  • The future of the Accounts Rules

summary & thanks ~ Mickaela Fox

Speaker Biographies

Robert Blech (MHA Macintyre Hudson) qualified accountant with legal background

Nathalie Darby

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.

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’.

Steve Marshall – UK Group CISO and Head of Bytes Cyber Consulting –is a world-class security consultant and business executive specialising in compliance, risk, data privacy, corporate information security and enterprise architecture. At Bytes, Steve provides leading audit, advisory and assurance services and acts as Bytes CISO, ensuring the strongest levels of security maturity and best practices are adopted internally.

Iain Miller is a partner in Kingsley Napley LLP.  He specialises in legal services regulation and has practices in this area for over 25 years.  He advises both law firms and their partners in relation to SRA regulatory issues as well as advising many of the legal services regulators (other than the SRA) on their regulatory functions.  He is General Editor of Cordery on Legal Services.

Pearl Moses is Risk and Compliance Lead at the Law Society of England and Wales. She is a seasoned legal professional and a solicitor with over 15 years experience in private practice, legal publishing and regulatory compliance issues. She joined the Law Society in 2003 and since then has held a range of regulatory roles including senior technical adviser with a policy formulation, training and adjudication remit.


Member £145
Non-member £175
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