Regulation and Compliance Online CPD

Location: Online


Online CPD covering regulation and compliance.

The number of verifiable CPD hours varies depending on which items you choose.

To gain 9 hours verifiable CPD select the option for all modules.

Prices for all modules (excluding VAT)

Member

£230.00

New member

£225.00

Non member

£235.00

Unemployed member

£215.00


Prices for individual modules are detailed below

View more information about individual modules

Join Jonathan Fisher QC of Bright Line Law and Red Lion Chambers for insights into the future of AML and financial crime from our 2020 online conference. 

Speakers:

 Jonathan Fisher QC, Bright Line Law and Red Lion Chambers, London and Visiting Professor in Practice, London School of Economics and Political Science
Jonathan Fisher QC is a leading barrister ranked by Chambers & Partners UK in Band 1 for Financial Crime and Proceeds of Crime cases. He is also ranked in the legal directories as a leading barrister for financial services, fraud and tax cases. In addition, he is known for his work in economic sanctions cases. Jonathan is a Visiting Professor in Practice at the London School of Economics and General Editor of Lloyds Law Reports: Financial Crime. He has been described in the legal directories as “high-flying", "a standout barrister", “commands huge respect”, and “in a game of chess, he would be five steps ahead.”  Jonathan established Bright Line Law as one of the UK’s first barrister law firms where he practises as Lead Counsel. He is also a tenant at Red Lion Chambers in London.

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

 

Join Laura Irvine of Davidson Chalmers Stewart for insights into the future of GDPR at our Data Protection Officer Training in October 2020. 

Speakers:

Laura Irvine, Partner, Davidson Chalmers Stewart
As Head of the Regulatory Team at Davidson Chalmers Stewart and a Criminal Solicitor Advocate, I represent corporate clients and individuals who find themselves in trouble with the Regulators: whether the police, HSE, SEPA, ICO or any of the other Government agencies who are increasingly involved in the regulation of all that we do in the work place.
As a former procurator fiscal depute with COPFS, with 20 years of working throughout the court of Scotland, I know my way around the criminal justice system and provide my clients with invaluable insight into what to expect from regulators and the Crown.

I am also passionate about data protection, privacy and information law and I was part of the only legal team in the UK to have successfully overturned a data breach fine imposed under the Data Protection Act 1998 – see Scottish Borders Council v the Information Commissioner

I provide my clients with contentious and non-contentious data protection advice having spent 2017 and 2018 advising clients across all sectors on how to implement the changes that the General Data Protection Regulation and the Data Protection Act 2018 brought in. I wrote the GDPR Guide for the Law Society of Scotland and worked on an immersive GDPR training app with Droman Solutions and the Scottish Business Resilience Centre (SBRC).

I also advise on cyber security law, working collaboratively with many of the cyber security firms in Scotland.

I am a director of the SBRC and a co-founder of Protectors of Data Scotland, a MeetUp group of ‘data protection geeks’ with over 200 members.

 

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Join Tom Stocker and Andrew Sackey of Pinsent Masons for insights into other financial crime risk areas from our 2020 online conference. 

Speakers:

Tom StockerPartner, Pinsent Masons
Tom specialises in financial crime, corporate investigations, and regulatory enforcement. Tom is ranked in Legal 500 (2020) as Scotland’s leading individual for white collar crime advice.

Andrew Sackey, Partner, Pinsent Masons
Andrew is a tax and white-collar fraud litigation lawyer with significant experience in delivering complex large-scale domestic and international compliance investigation. 

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Join Stuart Munro of Livingstone Brown for insights into the future of financial crime from our 2020 online conference. 

Speakers:

Stuart Munro, Managing Partner and Head of Criminal, Livingstone Brown
Stuart Munro is the head of the Criminal Litigation & Inquiries Practice Area Unit. With over twenty five years' experience, his main interest is in white collar crime and associated litigation.  He acted in the leading perjury case of HMA v. Coulson, which produced two hugely significant reported decisions.  He successfully represented the former administrator of Rangers Football Club in a major fraud prosecution.  

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Join Amy Bell of Teal Compliance for insights into the future of money laundering and financial crime, and how this has been impacted by Covid-19, from our 2020 online conference. 

Speaker:

Amy Bell, Director, Teal Compliance
Amy is the Founder of Teal Compliance and Teal Legal as well as the Author of Solicitors and Money Laundering and Compliance That Works, published in Autumn 2020.

Amy is a Compliance Consultant with a passion for helping firms adapt to the changing legal landscape. She has many years experience in working with law firms, and in 2017 launched Amy Bell Compliance Limited followed by Teal Compliance Limited in January 2018.

Amy’s team provide support to law firms, through consultancy services and training to help everyone in the firm to understand compliance and how to apply risk management principles to improve client service and deliver efficiencies.

Amy is a member and former Chair of the Law Society's Money Laundering Task Force, where she represents the Solicitors profession at Government and in Europe. She is also the author of the Law Society's Anti-Bribery Toolkit, their Anti Money Laundering Training courses, and co-author of the 4th edition of Solicitors and Money Laundering.

Amy is a regular speaker for the Law Society, the ARK Group, MBL Seminars as well as local Law Societies.

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

“The creation of trusts and companies on behalf of clients is assessed to be the legal service at greatest risk of exploitation.” National Risk Assessment of Money Laundering & Terrorist Financing 2017 (“NRA”). If your firm only provides one of the services, including – Company, LLP, SLP or Trust formation only, and Registered office only

  1. You are a TCSP, and
  2. You have a business relationship with that client, and
  3. You are statutorily obliged to comply with the Money Laundering Regulations when delivering such service(s) 

Join this easy to follow module on AML risk assessment for trust and company service provision with practical examples and guidance on red flags.

Learning Outcomes:

  • Regulation 12(1) of the Money Laundering Regulations, 2017
  • TCSPs – the National View
  • Firm Level Risk Assessment
  • Policies, controls and procedures
  • Client Level Risk Assessment
  • Client Level Risk Assessment – Considerations
  • Onboarding – Red Flags
  • Ongoing – Red Flags – Periodic Reviews

Speaker:

Alex White, AML Auditor, Law Society of Scotland
Alex White is AML Auditor at the Law Society of Scotland and specialises in trust and company service provision work. Prior to this role, Alex worked for nine years as compliance officer, money laundering reporting officer and executive director for a trust and corporate service provider. In addition to handling a portfolio of domestic and international clients, he ensured that the business met and complied with its statutory obligations. He is a professional member of both the Society of Trust & Estate Practitioners and the International Compliance Association.

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Learning Outcomes:

  • Corporate liability
  • Facilitating tax evasion
  • Other ongoing developments

Speaker:

David Artingstall, Associate Fellow, RUSI
David Artingstall is an independent consultant specialising in AML/CFT and regulatory risk issues. His roles as a consultant over recent years have included assignments as an international contracted expert for the IMF, Council of Europe and European Commission providing technical assistance on national AML/CFT frameworks. He has advised the private sector on risk issues and helped to develop the Solicitors Regulation Authority’s risk framework, as well as developing financial crime qualifications and co-authoring research. Prior to becoming a consultant, David held financial crime policy and intelligence roles in various public sector organisations, including the Financial Services Authority, where as a Technical Specialist he established a strategic intelligence function, in addition to acting as deputy MLRO; the UK Financial Intelligence Unit and Special Projects Branch at the National Criminal Intelligence Service, including being a founder member of the Terrorist Finance Team in 2001 and a period on secondment to one of the UK’s intelligence agencies; and the Metropolitan Police Special Branch, where he specialised in TF intelligence and investigation.

Prices for this module (excluding VAT)

Member

£40.00

New member

£35.00

Non member

£45.00

Unemployed member

£25.00

Please note that the 5th AML Directive is now in place, however the content of the 4th AML Directive still applies.

Learning Outcomes:

  • 4th Anti-Money Laundering Directive
  • Money Laundering Regulations 2017
  • Criminal Finances Act 2017
  • Client due diligence
  • Suspicious activity reports

Speaker:

Graham Mackenzie, Head of Anti-Money Laundering, Law Society of Scotland
Graham has 17 years' experience in a wide variety of financial crime-related roles within the Page 2 of 5 financial sector. This includes complex money laundering investigations, international sanctions violations and project work, along with fraud strategy, analysis and investigation. Graham specialises in using this experience to help firms implement robust,

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Learning Outcome;

  • How to reconcile AML disclosure requirements with legal professional privilege

Speaker:

Jane Jarman, Associate Professor, Nottingham Law School
Jane was admitted as a solicitor in 1992 and specialised in professional indemnity litigation before joining NLS in 2004 and is now an Associate Professor and a specialist in legal regulation and compliance. She has designed a variety of programmes, including the compulsory Risk Management Education Programme for the Law Society of Hong Kong, and the framework for the final qualification for registered trade mark attorneys. She has advised law firms and legal regulators on legal education and compliance in both the UK and internationally and is a member of Nottingham Law School’s Centre for Legal Education. Jane was also a co-author of the SR

Prices for this module (excluding VAT)

Member

£40.00

New member

£35.00

Non member

£45.00

Unemployed member

£25.00

  • Why would criminals look to set up a company or a trust to launder their proceeds of crime? How are these structures used?
  • Warning signs/red flags to look out for
  • How to mitigate these risks

Speaker:

Alex White, AML Auditor, Law Society of Scotland
Alex White is AML Auditor at the Law Society of Scotland and specialises in trust and company service provision work. Prior to this role, Alex worked for nine years as compliance officer, money laundering reporting officer and executive director for a trust and corporate service provider. In addition to handling a portfolio of domestic and international clients, he ensured that the business met and complied with its statutory obligations. He is a professional member of both the Society of Trust & Estate Practitioners and the International Compliance Association.

Prices for this module (excluding VAT)

Member

£30.00

New member

£25.00

Non member

£35.00

Unemployed member

£17.50

Speaker:

Callum Murray, Founder & CEO, Amiqus Resolution

Prices for this module (excluding VAT)

Member

£20.00

New member

£15.00

Non member

£25.00

Unemployed member

£10.00

Join Maureen H Falconer Regional Manager, Scotland Information Commissioner’s Office to gain guidance on ICO Regulatory Action. Maureen explores the current issues in GDPR implementation and the risks if it all goes wrong at your organisations.

Learning Outcomes:

  • Why, when and how do we regulate?
  • Aggravating factors
  • Civil Monetary Penalties
  • When is a CMP likely?

Speaker:

Maureen Falconer, Regional Manager, Scotland, Information Commissioner’s Office
Maureen Falconer joined the ICO in 2007, and is currently Regional Manager for the ICO’s Scotland Office. Maureen works with a variety of organisations, providing awareness-raising events, advice and guidance in all things data protection. Maureen sits on various development/steering groups, providing advice and guidance at the early stages of various public sector initiatives.
As well as the day-to-day management of the office, Maureen’s external remit includes the NHS, Local Government, Education and Social Work.
Prior to joining the ICO, Maureen worked in the Scottish Parliament as parliamentary researcher for Dennis Canavan MSP until his retirement in 2007. Coming from an academic background, Maureen lectured and researched in public administration with specific interests in education and health.

Prices for this module (excluding VAT)

Member

£20.00

New member

£15.00

Non member

£25.00

Unemployed member

£17.50

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