With our event just under a month away the speakers have now been confirmed for the Legal Eye Seminar – ‘New SRA Code of Conduct: where do the rules end and where does professional judgement begin?’
This free seminar from Legal Eye will outline the changes to the SRA Handbook and Code of Conduct and outline the practical implications for your firm.
One of the core principles of the new Code is to place increased emphasis on lawyers to exercise their professional judgement. This session will look at how this may work in practice. Where can you rely on the rules and where are you required to exercise and rely on professional judgement? How do you deal with the grey areas that may appear as a result? What happens if you get it wrong? Will this provide your firm with increased opportunities to identify and manage your risks to better service your clients and increase profitability?
Legal Eye’s team of specialist risk and compliance advisers alongside Paul Bennett of Bennett Briegal LLP, will share advice and practical tips on steps that your firm can take to not only ensure compliance with the new requirements but also to tackle concerns about judgement and ethics.
When and where?
Venue: Marsh JLT Specialty Limited
8th Floor | The St Botolph Building | 138 Houndsditch | London | EC3A 7AW
Time: 2.30pm arrival for 3pm start. 4.30pm finish with drinks afterwards
CPD available: 1.5 hours
Cost: no charge
Katie Jackson, Senior Compliance Adviser at Legal Eye
Katie specialises in SRA, CLC and Money Laundering Regulations and complaints handling. She has worked at the Legal Services Commission, The Law Society / SRA, and the CLC. Her roles have included Inspector, Technical Adviser and Senior Manager.
Katie will cover the key implications of the upcoming changes for COLPs, COFAs, partners and law firm management of the changes to the SRA Handbook will come in to force on 25 th November. Get a taste of what Katie will be covering by listening to her 30-minute webinar here.
Paul Bennett, Bennett Briegal LLP
Paul Bennett is a Solicitor, Mediator and Arbitrator who advises law firms and solicitors on SRA regulatory matters, Anti-Money Laundering, employment and partnership law at the specialist law firm to other lawyers Bennett Briegal LLP.
His presentation will focus on: ‘Ethics – What do the SRA, SDT and Courts expect of law firm leaders?’
Recent high profile cases involving bullying, well-being, allegations of poor management and covering up mistakes have shone a light on the importance of ethics for law firms and for their managers but what does this mean in practice for law firm leaders? What will be the impact of the SRA Standards and Regulations (STARs) 2019 on these challenges?
Paul’s work is national, and his experience includes advising hundreds of law firms from High Street, niche firms and City and US Law Firms on legal issues, reporting serious misconduct to the SRA, regulatory investigations and responding to enforcement proceedings. As an arbitrator he can be appointed in the event of a partnership dispute.
An experienced advocate across a range of Tribunals and Courts he has acted before the Solicitors Disciplinary Tribunal (SDT), High Court and in the Court of Appeal including in a number of leading cases involving mental health and dishonesty for solicitors and other professionals.
His book A Practical Guide to Compliance for Personal Injury Firms working with Claims Management Companies was published in 2017 by Law Brief Publishing who also publish his latest title A Practical Guide to the SRA Principles Individual Code and Firm Code 2019 helping law firms comply with the SRA regime which was released in February 2019.
Jody Evans, Director, Legal Eye
Jody will chair a discussion about the practical application of the issues covered.
Starting her career in the legal sector during 2007, Jody Evans was recruited to support a leading executive-led law firm in the delivery of ambitious growth plans through law firm acquisition.
Jody took responsibility for heading the Risk and Compliance Team in 2012, with her prime focus being on the introduction of an effective risk and compliance framework across multiple locations and legal disciplines at a time of continuous change.
She went on to manage projects which included the successful application for the firm to move to an Alternative Business Structure status, leading the firm to become accredited to industry leading Quality (ISO 9001) and Information Security (ISO 27001) standards across all locations, as well as the delivery of a firm-wide risk and compliance training and awareness programme.
Passionate about further developing her experience, 2016 saw Jody move into the role of Chief Risk and Compliance Officer for an executive led private equity-backed legal services provider. Here, her key focus was to create a risk and compliance framework spanning five regulated and unregulated businesses.
Working with the managing directors and Chief Executive, she identified and prioritised the mitigation of areas of vulnerability across the group, leading to the creation of a Group level risk and compliance framework. Ahead of the May 2018 implementation of the GDPR, Jody introduced a project steering group, process changes, training and awareness to help the business prepare effectively.