‘JUNIOR’ ARDL WEBINAR: PREPARING FOR AND PRESENTING A PROFESSIONAL DISCIPLINE CASE

Speakers: Rachel Birks (Partner, Ward Hadaway), Alexander dos Santos (Barrister, Serjeants’ Inn Chambers), Rosemary Rollason, (Legal Adviser to Disciplinary Tribunals), Kenneth Hamer (Barrister,  Henderson Chambers).

Chair: Joanne Harrison (Associate, Carson McDowell LLP)

Date: Monday, 28th September 2020

Seminar Start Time: 18.00

This seminar, will take place remotely on an appropriate platform. Those signing up will be provided with a link in advance of the seminar. Please note that the seminar is open to members only and you are asked to confirm that you are a member before joining the event.

The ARDL membership page is https://www.ardl.org.uk/membership/

Overview:

This is the next event from Junior ARDL’s series of seminars to provide those who are less than 10 years qualified with opportunities to develop essential skills in regulatory proceedings. 

The evening will cover a range of topics regarding the preparation and presentation of a professional discipline case. 

Speakers:

Rachel Birks, Partner, Ward Hadaway, Solicitor-Advocate and Legally Qualified Chair – Drafting a witness statement that gets to the heart of the regulatory issue

Rachel is a regulatory lawyer with a specialist interest in healthcare, social care and childcare regulation.  She has worked in the field of regulatory law for eighteen years.  Rachel sits as a Legally Qualified Chair at the Medical Practitioners Tribunal Service and is a Legal Adviser for panels at Social Work England.  Rachel is a Ranked Lawyer for Professional Discipline in Chambers and Partners and is Vice-Chair of ARDL.

Alexander dos Santos, Barrister, Serjeants’ Inn Chambers Drafting an effective skeleton argument.  

Alexander dos Santos (Serjeants’ Inn Chambers). Alex has a broad common law practice with a focus on regulatory and public law matters. In professional discipline matters, he has significant experience acting both for and against regulators and is ranked in both Chambers and Partners and the Legal 500. He is a contributor to 10th Edition of Disciplinary and Regulatory Proceedings published by LexisNexis.

Rosemary Rollason, Legal Adviser to Disciplinary Tribunals  Avoiding common pitfalls in case preparation before a Tribunal

Rosemary Rollason has practised as a solicitor in regulatory and disciplinary law throughout her career. In late 2017, Rosemary established her own practice, R J Rollason Law, advising a wide range of professional regulators, designing and presenting training for tribunal members and in- house teams.  She is appointed as a legal assessor to the disciplinary panels of several regulatory bodies and is the Convener to the Financial Reporting Council. 

Rosemary has been a partner in regulatory teams at Field Fisher Waterhouse and Russell Jones & Walker/Slater & Gordon, and a Consultant at Bevan Brittan LLP.  She was a founder member and Secretary of ARDL and is currently a committee member. 

Kenneth Hamer, Barrister,  Henderson Chambers, Legally Qualified Chair and author of the Professional Conduct Casebook – Presenting an effective legal argument

Kenneth Hamer is an experienced barrister and former Recorder of the Crown Court. He sits regularly as a legally qualified chairman at the GMC (MPTS) and is a legal adviser/legal assessor to the GDC and NMC. He regularly represents regulators and practitioners in a range of professional conduct cases, as well as advising and lecturing on fitness to practise processes. He is the author of the leading textbook Professional Conduct Casebook, now in its third edition, the joint editor of ARDL’s Quarterly Bulletin, and a council member of the Incorporated Council of Law Reporting in England and Wales.  

Chair:

Joanne Harrison, Associate, Carson McDowell LLP.  Joanne is the secretary of ARDL and has been an active committee member since 2012.  Joanne is an Associate Solicitor at Carson McDowell LLP, specialising in regulatory and professional disciplinary matters, with a particular focus on healthcare cases.

ARDL Webinar: Virtual hearings in regulatory matters

Speakers: Marios Lambis (2 Hare Court) and Clare Chapman (BLM)

Chair: Richard Coleman QC (Fountain Court)

Date: Thursday 24th September 2020

Seminar Start Time: 18:00

This seminar, will take place remotely on an appropriate platform. Those signing up will be provided with a link in advance of the seminar. Please note that the seminar is open to members only and you are asked to confirm that you are a member before joining the event.

The ARDL membership page is https://www.ardl.org.uk/membership/

Overview:

Please join our second webinar on the topic of virtual hearings in regulatory matters.

Marios Lambis will discuss the legality of virtual hearings and Clare Chapman will be providing details of the membership’s responses to our questionnaire. If you haven’t completed the questionnaire already, we would be very grateful if you could do so. Completed responses can be sent to ARDL@blakemorgan.com

Speakers:

Marios Lambis (2 Hare Court) : Marios started his career in crime but for the last 20 years has specialised in the area of professional discipline and regulatory law. His experience and level of knowledge has led to him undertaking work before most regulators not only presenting and defending but also advising. He has assisted regulators in the training of Chairs in their tribunals and was one of only eight lawyers (the only junior counsel) invited to advise on the new fitness to practice rules for the organisation that was to take over the hearings for the General Medical Council.  He often lectures to indemnifier organisations. His experience covers all the regulators, including accountants, architects, education, engineers, healthcare, vets and many others.Since 2007 he has also been a Recorder of the Crown Court with a Licence to try Serious Sexual Offences.

Clare Chapman (Partner, BLM): Clare is a partner and head of the professional discipline and regulatory practice group at BLM and has practised in this field since 2001. She routinely represents  healthcare practitioners in regulatory and disciplinary matters and also provides advice and assistance in criminal investigations, inquests and public inquiries.

Inaugural One Day Conference

Friday 22 January 2021
Registration from 08.45
Conference 09.15 – 17.05; Drinks reception 17.05 – 18.00

ARDL is pleased to announce details of its Inaugural Professional Discipline and Regulation Conference, which will take place on Friday 22 January 2021 at the Museum of London. There is a back-up date of Friday 26 March 2021 in the event that ARDL cannot hold the conference in January.

The conference will be of interest to members of ARDL practising in all aspects of professional discipline and regulation and will involve updates on key developments and interesting insights from the ‘coalface’.

Why Regulation Still Matters in 2021’

We are delighted to confirm that The Rt. Hon. Lord Dyson, former Master of the Rolls and Justice of the Supreme Court in the United Kingdom, has agreed to present the opening session of the conference.

‘Corporate Governance for Public Bodies and Regulators – Has Regulation Failed?’

ARDL welcomes David Gomez, author of the leading healthcare regulatory law textbook “The Regulation of Healthcare Professionals: Law, Principle and Process (2nd Ed. Sweet & Maxwell)” and a well-known lawyer in the field of regulation and professional discipline, latterly as the senior lawyer at the Professional Standards Authority, to present this key address.

Conference Speakers include:

Jonathan Dillon, Executive Director of Fitness to Practise, Social Work England

‘Why a Regulator Established in 2019 Looks a Little Different’

Kenneth Hamer, Henderson Chambers ‘Regulatory Case Law Update’

James Stuart, Lamb Chambers ‘Regulation and the Twittersphere’

Shannett Thompson, Senior Associate, Kingsley Napley

‘Bite-sized Regulatory Principle Refreshers’ chaired by Rosemary Rollason, RJ Rollason Law, covering topics including: Judicial Review, Privacy and Ill-Health of a Registrant, Hearsay, Registrant Engagement and Abuse of Process with speakers:

Holly Bontoft, Senior Lawyer, Social Work England

Richard Coleman QC, Fountain Court Chambers

Katie Costello, Partner, BLM

Sarah Ellson, Partner, Fieldfisher LLP

Fenella Morris QC, 39 Essex Chambers

Vikram Sachdeva QC, 39 Essex Chambers

‘What Keeps Regulators Awake at Night?’ chaired by Paul Ozin QC, 23 Essex St Chambers, Deans Court Chambers and Chair of ARDL, with speakers:

Phil Evans QC, Head of Rugby Judiciary, Rugby Football Union

Juliet Oliver, General Counsel, Solicitors Regulation Authority

Jim Percival, Deputy General Counsel, General Medical Council

Theresa Thorp, Head of Regulatory Enforcement (Interim), Royal Institution of Chartered Surveyors

Refreshments and lunch will be provided and we hope delegates will also join us for a drinks reception at the close of the event.

Tickets, for what we hope will be the first of many annual conferences and what we hope you will agree will be a fascinating event, are priced at £150 and include both lunch and drinks at the reception. They can be obtained through the Eventbrite link, which will be emailed to ARDL Members in the next few weeks.

ARDL Webinar: How have and how could regulators react to the Black Lives Matters movement?

Speaker: Nadine Pemberton

Chair: Paul Ozin QC

Date: Wednesday 16 September 2020

Seminar Start time: 18:00

This seminar, will take place remotely on an appropriate platform. Those signing up will be provided with a link in advance of the seminar. Please note that the seminar is open to members only and you are asked to confirm that you are a member before joining the event.

The ARDL membership page is https://www.ardl.org.uk/membership

Overview:

This is the first of ARDL’s seminars responding to the Black Lives Matter movement. In this seminar, Nadine, with her extensive experience working within the regulatory sector, will provide an assessment of the varied public responses of regulators to Black Lives Matter and offer a personal view, of what regulators could be doing by way of a proportionate and constructive response to the inequalities highlighted by the movement.

Speaker and Chair:

Nadine Pemberton. Nadine is a solicitor with extensive experience in front line and senior leadership roles in regulatory, compliance and enforcement matters, spanning the regulatory, criminal and civil fields across the public sector. These include roles as: the first Executive Director of Legal at Social Work England, the newly formed national regulator for the social work profession in England; the Head of Governance and Legal Services at the Care Quality Commission; the Head of Prosecutions at the Child Maintenance and Enforcement Commission; a Senior Crown Prosecutor for The Crown Prosecution Service; and an advisory lawyer at the Independent Office for Police Conduct. Throughout her career Nadine has also specialised in strategic organisational development, team change and transformation; and equity and inclusion. Nadine recently founded Pemberton+ Consulting, where she works internationally as a coach and consultant.

Paul Ozin QC (23 Essex Street Chambers) is the Chair of ARDL. As such, he has helped to shape ARDL’s approach to equality and diversity issues, its programmes to promote increased access to the legal regulatory sector and its response to the Black Lives Matter movement. He specialises principally in the fields of financial and business crime, regulatory and disciplinary proceedings and related public law, civil and international work. He is consistently ranked as a Leading Silk in the legal directories.

ARDL Webinar: An Inquiry for Inquiry’s Sake?

Speakers: Jeremy Hyam QC and Rajkiran Barhey (1 Crown Office Row)

Chair: Daniel Machover (Hickman and Rose)

Date: Monday 13th July

Seminar Start time: 18:00

This seminar, will take place remotely on an appropriate platform. Those signing up will be provided with a link in advance of the seminar. Please note that the seminar is open to members only and you are asked to confirm that you are a member before joining the event.

The ARDL membership page is https://www.ardl.org.uk/membership

Overview:

Jeremy Hyam QC and Rajkiran Barhey debate the effectiveness of a public inquiry in response to COVID-19.

They will consider what an potential public inquiry could achieve, its advantages over other processes, possible approaches to scope, the timing of an inquiry and how a future inquiry could be designed.

Speakers:

Jeremy Hyam QC

Year of call: 1995

Year of silk: 2016

Jeremy Hyam QC has a wide practice in medical-related public law, professional discipline and public inquiries. He was instructed in respect of judicial review proceedings which led to the setting up of the Mid Staffordshire Public Inquiry, and was subsequently lead counsel for a key core participant throughout that Inquiry. He is currently acting on behalf of leading consultant Haematologist and medical director in the Infected Blood Inquiry.

He is Editor of the 1COR Quarterly Medical Law Review (QMLR).

He was named one of The Lawyer’s Hot 100 in 2019. Jeremy is ranked as a leading silk in Chambers and Partners and in the Legal 500.

“Careful, measured, cerebral and great on the papers. He’s quick to turn advice and submissions around. Having Jeremy on your side in a technical argument is a real asset.” (Chambers & Partners 2020)

“He is very approachable, accessible and really listens to his clients. He is very thorough and really understands the bigger picture and the broader nature of a case.” (Chambers & Partners 2020)

‘He has an enormous grasp of the law; his written pleadings and arguments are thorough. ’ (Legal 500 2019)

“Jeremy is a smooth operator in court.” “He is clever, sees all the angles and is reasonable. He will tell you if an argument won’t fly.” (Chambers & Partners 2018)

Rajkiran Barhey

Year of call:2017

Rajkiran (Kiran) accepts instructions in all areas of Chambers’ work and is developing a broad practice, particularly in clinical negligence, personal injury, inquests, tax, environmental and planning law, immigration, public law and human rights. Kiran joined Chambers as a tenant in September 2018 following successful completion of a 12-month pupillage.

She has a wide range of advocacy experience, both led and unled, having appeared in the County Court, in the Coroners’ Courts, in the First-tier and Upper Tribunals, in a planning inquiry, and in the Employment Tribunal.

Kiran has been instructed on the Grenfell Tower Inquiry since 2018, working on the investigation into the performance of the lifts on the night of the fire. She is working with the appointed expert and counsel team.

Editor-in-Chief for the 1COR Quarterly Medical Law Review (QMLR)

SRA Recruitment – Adjudicator

We’re hiring. Join us as an Adjudicator on a permanent, full time basis. Exercising decision-making powers on a broad range of work delegated to our adjudicators, you will have previous experience in reaching reasoned and accurate decisions quickly. Comfortable analysing complex, technical and often protracted information, you will provide legal and technical support to make sure decisions comply with the law, our rules, regulations and guidance.

Link to apply:

https://sra.tal.net/vx/lang-en-GB/mobile-0/appcentre-2/brand-4/xf-04ae6a4f941e/candidate/so/pm/1/pl/3/opp/2757-Adjudicator/en-GB

Closing date is 8am Monday 13 July.

UPDATE ARDL Webinar: Legal Services

Speakers: Ben Hubble QC (4 New Square Chambers); Iain Miller (Partner, Kingsley Napley LLP); Richard Coleman QC (Fountain Court Chambers).

Chair: Timothy Dutton CBE, QC (Fountain Court Chambers)

Date: Tuesday 7 July 2020

Seminar Start Time: 18:00

This seminar, will take place remotely on an appropriate platform. Those signing up will be provided with a link in advance of the seminar. Please note that the seminar is open to members only and you are asked to confirm that you are a member before joining the event.

The ARDL membership page is https://www.ardl.org.uk/membership/

Overview:

Join us for this remote seminar where we’ll be considering a number of topical subjects in the field of legal services regulation and discipline including:

  • How might entity regulation work in practice?
  • The role of the COLP and self-reporting (including consideration of Non-Disclosure Agreements).
  • How to respond to an SRA investigation – and how to avoid them in the first place

Speakers:

Ben Hubble QC (4 New Square Chambers). Ben is aspecialist in professional liability, disciplinary, regulatory and commercial work. He is particularly experienced in regulatory and professional disciplinary issues in the legal and financial sectors. Ben advises a number of city law firms on regulatory and compliance issues, as well as acting in disciplinary claims before the SDT. Ben was nominated for the 2017 Chambers UK Bar Professional Discipline Silk of the year and is highly ranked in the legal directories. In April 2020, Ben was the Times Lawyer of the Week and the Lawyer’s inaugural Barrister of the Week.

Iain Miller (Partner, Kingsley Napley LLP). Iain is a former Chair of ARDL and a Partner in Kingsley Napley LLP. Iain has practised in regulation for over 20 years with a particular emphasis on legal regulation and public law. He has acted for most of the legal services regulators and acts for law firms and solicitors advising them on their regulatory obligations..

Richard Coleman QC (Fountain Court Chambers). Richard is a leading practitioner in the fields of commercial dispute resolution, banking, financial services and professional discipline.Recent disciplinary cases include acting for a respondent in the recent Baker McKenzie case, acting for the SRA in Wingate & Evans v SRA and acting for Clifford Chance in the SDT proceedings arising from the Excalibur litigation.

Chair:

Timothy Dutton CBE, QC (Fountain Court Chambers). Tim is one of the Bar’s best known Silks in the field of professional discipline and is ranked in both Chambers UK & Legal 500 as a leading Silk and a Star Individual in Professional Discipline. He has undertaken a large number of high profile cases and is described as a doyen of the bar when it comes to professional conduct”. Tim is a former Chair of ARDL and former Chair of the Bar Council. He was Head of Chambers at Fountain Court from 2008-2013. 2

New ARDL Committee & dates for the diary

At the AGM in April, Iain Miller stepped down as Chair. Paul Ozin QC was elected as the new Chair and Rachel Birks as the new Vice-Chair. Fiona Muirs and Sam Thomas join the Committee as new members. John Lucarotti and Vikram Sachdeva QC stepped down from the Committee.

The Committee wishes to express its gratitude to Iain for his tremendous work as ARDL’s chair and to John and Vikram for their enormous contributions to the work of the Committee.

A full list of Committee members can be found here.

The newly refreshed Committee aims, in these challenging times, to build on the achievements of its predecessors in maintaining and developing ARDL’s seminar programme and publications and, when it is safe to do so, restoring ARDL’s annual unsurpassed dinner.

Dates to note for the diary (with further details to follow in due course):

  • ARDL’s One Day Conference. Postponed to 22 January 2021.
  • ARDL’s Annual Dinner. Postponed to 26 February 2021.

ARDL Annual Dinner: 5 July 2019

We’re delighted to announce the ARDL Annual Dinner 2019 will take place at The Guildhall,  London, on Friday 5th July and our guest speaker will be Sir Robert Francis QC.

Please see the links for further information and booking terms and conditions. Terms & Conditions ARDL Annual Dinner Notice 2019

ARDL Seminar – “Carillion: the fallout – Has the collapse of Carillion precipitated the death of audit as we know it?”

Date: 9 April 2019

Registration: 5.30 pm

Seminar Start Time: 6.00 pm

Venue: Blake Morgan LLP, 6 New Street Square, London, EC4A 3DJ

A seminar and discussion on the regulation of the audit profession following the collapse of Carillion and the publication of the Kingman and the CMA Reports.

Seminar Chair:

Gareth Rees QC

Gareth Rees QC was called to the bar in 1981 and appointed Queens Counsel in 2003. His main practice at the bar was in crime and fraud but he was also instructed in disciplinary and regulatory matters and chairs RFU Disciplinary Tribunals. In 2012 he was appointed Executive Counsel at the Financial Reporting Council with responsibility for investigating and prosecuting auditors, accountants and actuaries for misconduct affecting the UK public interest. Since November 2017 he has been a partner at King & Spalding in its Special Matters team undertaking corporate investigations and advising on criminal, regulatory and disciplinary issues.

Speakers:

Ben Hubble QC

Ben has longstanding experience in disciplinary proceedings against accountants and actuaries dating back to when, as a junior, he prosecuted the Chief Executives of Equitable Life. Ben has been involved in many of the FRC investigations and disciplinary proceedings of the past decade and most recently acted for the finance director in the Equity Red Star case. Ben is a past Chair of the Professional Negligence Bar Association. He is a Senior Decision Maker for the Guernsey Financial Services Commission.

Ben was nominated as the 2017 Chambers UK Bar Professional Discipline Silk of the yearand is highly ranked in the legal directories.

Philippa Hill

Philippa is a Partner in Grant Thornton’s Forensics team and is a Fellow of the ICAEW. She has specialised in accounting investigations and disputes since 2001, prior to which she was an auditor. She has particular experience advising on suspected accounting irregularities and misstatements, and the responsibilities and conduct of directors and auditors in this context, including regulatory and professional disciplinary inquiries. She investigated the role and conduct of auditors and corporate finance advisers to the ‘Phoenix Four��� directors of the MG Rover Group, and gave evidence for the Financial Reporting Council in its first contested tribunal hearing. She has advised on numerous other matters involving suspected accounting irregularities, corporate failures and financial misstatements, including Wickes plc, RBG Resources, the Presbyterian Mutual Society and Equity Red Star.

Philippa also acts as independent expert witness in High Court and arbitration cases, particularly in financial and accounting disputes such as fraudulent misrepresentation and breach of warranty claims, and as quantum expert in other breach of contract or breach of duty matters. She is a transactions disputes specialist and regularly advises parties to deals on negotiating and determining the final equity price in transactions, including expert determination of post-deal disputes.

Duncan Wiggetts

Duncan is Executive Director, Professional Standards at ICAEW.

Duncan qualified as a solicitor in 1992 after obtaining a LLB law degree from Nottingham University in 1989.  After spending an initial period of 10 years in legal private practice specialising in high value commercial disputes and independent investigation work, Duncan joined PwC in January 2001, initially as Director in the EMEA litigation team and subsequently becoming Senior Counsel to the Audit business of the PwC Eurofirms network in January 2005 and a partner in PwC Netherlands.

After leaving PwC in 2009 for another five years back in legal private practice, Duncan joined ICAEW in January 2014 as Director of the Professional Conduct department.  Duncan subsequently moved up to his current position in June 2016. Since 2005, Duncan has written six drama films highlighting dilemmas faced by accountants and directors including the ICAEW films “False Assurance” and “Without Question”.  Duncan’s films have been used in training, shown at events and screened in boardrooms all around the world.

A drinks and canapes reception will follow the seminar.   

 

ARDL Summer 2014 Special Edition Bulletin is now available

Please find the ARDL Summer 2014 Bulletin here: Special Edition Summer 2014 Bulletin