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Regulations roadshow - Glasgow

Date: 10th September 2018

Time: 09:00 - 12:45

Location:
200 SVS
200 St Vincent Street
Glasgow
G2 5RQ

CPD Hours: 3hours

Our annual Regulations roadshow is coming to a town near you. Join us this autumn to fully understand the recent regulatory issues and to help keep you and your firm compliant.

Book by 31 July to save 20% on the below prices with our Early Bird rate

Our annual Regulations roadshow is coming to a town near you this autumn!

Join our expert speakers to identify and understand the recent changes in regulatory issues and to help keep you and your firm compliant. This year’s agenda is designed to keep you up to date, and avoid the pitfalls arising from an ever-changing regulatory landscape.

On the day we will explore both service and conduct complaint trends, and highlight useful steps to take in order to avoid such complaints. We will also provide you with a greater understanding of the latest fraud topologies, how to increase your awareness of AML red flags, and identify tips to reduce your firm’s vulnerabilities and aid compliance.

The day will finish with an interactive case study which will draw together the learning from the individual sessions, and apply this to a number of everyday transactions leading candidates through from the initial customer contact, to identifying the risks associated with the transaction, to dealing with a complaint when things go wrong.

By attending this half-day conference, you will gain:

  • Knowledge of recent changes in regulatory issues and what they mean for you and your firm
  • Understanding of what can be a conduct complaint and how it is likely to be viewed by the Professional Conduct Sub Committees and the Scottish Solicitors Discipline Tribunal – also, what steps can be taken to avoid such complaints
  • Understanding of service complaint trends and steps to take to avoid such complaints
  • Awareness of the latest fraud topologies and AML red flags, and gain tips to reduce risk
  • Morna Grandison, Director of Interventions, Law Society of Scotland
  • Margot Walker, Head of Investigation, Law Society of Scotland
  • David Buchanan-Cook, Head of Oversight and Communications, Scottish Legal Complaints Commission
  • 09:00 - 09:30

    Registration, refreshments and networking
  • Speaker
    Morna Grandison

    Morna Grandison BSC Tep’s primary role at the Law Society of Scotland is to take on Judicial Factory appointments made by the Court of Session. Working in the area of complex fraud investigation Morna represents the Society on a number of forums, identifying fraud trends and threats and problem solving ways to combat issues arising from the latest threat landscape.

    • Facts and stats about complaints numbers over the past 10 years
    • Trends - most commonly complained about business areas and subjects
    • IPS - what it is and how we deal with it
    • Spotting complaints and awareness or 'red flags'
    • Best practice in complaints handling
    • Complaint "prevention"

     

    Speaker
    David Buchanan-Cook

    David joined the SLCC in April 2010. As Head of Oversight and Communications, he is responsible for the area of the SLCC which oversees the way in which the Law Society and the Faculty of Advocates deal with conduct complaints. Oversight is also responsible for using insight from trends analysis of complaints data to inform the profession and the wider public through the SLCC’s outreach work. To that end, David makes regular appearances on the conference circuit, both nationally and internationally. David is the Commission’s representative on the SLCC’s Consumer Panel to promote the interests of legal consumers, particularly vulnerable clients. David is a member of the Cross-Party Group on Consumer Affairs in the Scottish Parliament, and he also writes regular features for the Scotsman and the Law Society Journal. Prior to working for the SLCC David held a variety of investigation and risk-based roles in both the public and private sectors. These included roles at the Scottish Legal Aid Board; National Australia Bank; KPMG; and Tesco Bank.

    • What is a conduct complaint?
    • Examples of recent decisions from the Scottish Solicitors Discipline Tribunal and Professional Conduct Sub Committees for both professional misconduct and unsatisfactory professional conduct
    • How to reduce the risk of a conduct complaint

     

    Speaker
    Margot Walker

    Margot joined the Law Society of Scotland in 1999 after many years in private practice as a court practitioner undertaking both criminal and civil cases. Margot heads up the Complaints Investigation Team which investigates and reports on conduct complaints about solicitors. Margot also oversees the work of the Clerks to the two Professional Conduct Sub Committees; which make the decisions on the complaints. The Clerks instruct one of the Society’s fiscals if a complaint is referred to the Scottish Solicitors Discipline Tribunal for prosecution and Margot also oversees this part of the process. Margot is involved with the SLCC in liaising on the categorisation of hybrid complaints, discussions regarding policy, process and the terms of the 2007 Act, handling complaints and the SLCC’s oversight of the Society’s complaints process.

  • 10:55 - 11:10

    Refreshments and networking
    • Update on the latest fraud trends emerging, and understanding their topologies
    • Review of the various regulatory risks practices are facing
    • Commentary of money laundering investigations arising in judicial factory cases, including red flag indicators for practitioners
    • Identifying steps which firms can take to reduce their risks

     

    Speaker
    Morna Grandison

    Morna Grandison BSC Tep’s primary role at the Law Society of Scotland is to take on Judicial Factory appointments made by the Court of Session. Working in the area of complex fraud investigation Morna represents the Society on a number of forums, identifying fraud trends and threats and problem solving ways to combat issues arising from the latest threat landscape.

    • Practical examples of everyday transactions
    • Identifying risks
    • Dealing with complaints

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Prices

prices exclude VAT

Member:
£129.17
 
New member:
£116.67
 
Accredited Paralegal:
£116.67
 
Trainee:
£116.67
 
Unemployed member:
£104.17
 
Non-member:
£141.67
 

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