Seminar: Financial Services

Association of Regulatory and Disciplinary Lawyers

Seminar

The Senior Managers Regime, and Judicial Review of Financial Services Decisions

3rd October 2016 at 5.30pm   at the offices of   CMS Cameron McKenna, Cannon Place, 78 Cannon Street, London EC4N 6AF

Speakers:

Simon Morris, Partner, Financial Services and Products Team, CMS Cameron McKenna

Robert Dedman, Chief Counsel, Regulatory Action Division, Prudential Regulation Authority, Bank of England

Vikram Sachdeva QC, 39 Essex Chambers

Followed by discussion and questions

Chaired by Mr Justice Leggatt, Judge of the Financial List

ARDL is delighted to welcome Simon Morris, Robert Dedman, and Vikram Sachdeva QC, to deliver the next in its regular seminar series.

Overview

Simon and Robert will each talk from their different perspectives on the how the Senior Managers Regime is being received, the Senior Insurance Managers Regime, how firms are reacting to the Regulators’ new individual focus, and what may lie ahead.

In particular:

  • How are firms adapting to the SMR?
  • How are the regulators treating individuals while the SMR beds down?
  • What will the world of individual; responsibility look like in three years’ time?

Vikram will examine recent case law on financial services and will suggest strategies for challenging financial services decisions.

Speakers

Simon Morris qualified as a solicitor in 1982 and has been a partner at CMS since 1988.  He advised more than 30 banks and insurers on the introduction of the new senior manager regime and has handled more than 400 enforcement actions bought by the PRA, FCA, predecessor and overseas regulators.  He is a Commissioner of the Jersey Financial Services Commission and his latest book Financial Services Regulation in Practice was published by Oxford University Press earlier this year.   https://cms.law/en/GBR/People/Simon-Morris

Robert Dedman is Head of the Bank of England’s Regulatory Action Division.  In the three and a half years since the PRA took up its functions, he has been instrumental in creating, and then building, its enforcement capability.  During that time, the Division has concluded a number of enforcement cases, including a £14m fine on the Royal Bank of Scotland for IT failings, a public censure on the Co-operative Bank, and a fine and prohibition of two former senior executives of that firm.  Among other things, Rob has been heavily involved working up the supervisory and enforcement aspects of the Senior Managers Regime.”

Vikram Sachdeva is a leading silk at 39 Essex Chambers practising in commercial law, financial services, and judicial review. He taught Administrative and Public Law at Cambridge, and appointed as Junior Counsel to the Crown (A Panel) before taking silk. He has appeared in many judicial review cases from the High Court to the Supreme Court. http://www.39essex.com/barrister/vikram-sachdeva/

Mr Justice Leggatt is a leading judge on the Financial List of the Commercial Court: https://www.judiciary.gov.uk/publications/mr-justice-leggatt/

The seminar will be followed by a panel discussion and there will be plenty opportunity for questions from the audience.  Refreshments will be served at the conclusion.

Event details

Date: 3rd October 2016

Time: Registration & tea/coffee – 5.30pm

Seminar:  6pm – 7.30pm; 

Refreshments: 7.30pm

CPD: 1.5 hours 

Venue: CMS Cameron McKenna, Cannon Place, 78 Cannon Street, London EC4N 6AF Map: https://cms.law/en/GBR/Office/London

ARDL seminars qualify for CPD.  Please remember to sign the relevant CPD sheets at the seminars.

London Seminar: “Lawfulness, rationality and proportionality: clarity or the fog of war?”

Speakers: Timothy Dutton QC, Bankim Thanki QC, Pia Dutton

Chair: Lord Justice Jackson

ARDL is delighted to start 2016’s Seminar Programme with a seminar featuring our former Chair Timothy Dutton QC, and Bankim Thanki QC, both eminent practitioners, on the subject of judicial review in the regulatory context and the theme of proportionality. Tim and Bankim will be joined by Pia Dutton for a presentation which will examine regulation and JR and discuss the issues which give rise to difficulty among practitioners.

The seminar will be chaired by Lord Justice Jackson.

The speakers will look at the way in which the court has developed proportionality and given it different meanings in a human rights and European or statutory context, referring to, for instance, Hemming v Westminster  and Lumsdon v LSB & BSB in the Supreme Court (both of which concerned regulators). The presentation will last for an hour and there will be time for questions. The event will be followed by a drinks reception.

Speaker profiles:

Timothy Dutton QC http://www.fountaincourt.co.uk/people/timothy-dutton

Bankim Thanki QC http://www.fountaincourt.co.uk/people/bankim-thanki

Pia Dutton http://www.3vb.com/our-people/download-cv/pia-dutton

Demand is expected to be high for this event so please register your interest as soon as possible. We look forward to seeing you there.

Date: 21st January 2016

Time:   5.30pm – Registration & tea/coffee

            6pm – 7.30pm – Seminar

           7.30pm – Refreshments

Venue: Fieldfisher offices, Riverbank House, 2 Swan Lane, London, EC4R 3TT

(Map – http://www.fieldfisher.com/media/2393825/mapriverbankhousedirections.pdf)

 

For more information: https://www.eventbrite.co.uk/e/lawfulness-rationality-and-proportionality-clarity-or-the-fog-of-war-tickets-19998587313

Drinks Event: Junior ARDL’s: ‘Beat the January Blues’ Drinks Event

Are you an ARDL member who is less than 10 years PQE?  Do you have the post-holiday ‘January Blues’?  Would you like to meet and socialise with colleagues and peers?

 

If so, you are invited to join Junior ARDL for an evening of networking with free drinks and canapes on arrival to help clear away those January blues!  

 

Date: Thursday 28 January 2016

 

Time: from 6.00pm

 

Venue: Vinoteca, Farringdon, 7 Saint John Street, London EC1M 4AA

We have up to 50 places available – based on our last Junior ARDL event, demand for our events is high so please secure your place  by signing up here:  INSERT LINK

We look forward to seeing you there!

 Junior ARDL

Junior ARDL Seminar 3rd November in London: Tips for Tribunal Advocacy

ARDL is delighted to announce the formation of a Junior ARDL section for all of its members who are less than 10 years qualified.  Junior ARDL will provide opportunities for seminars, networking and social events, all of which will be specifically aimed at the 10 years qualified and under group.

The first seminar will take place in London on Tuesday 3rd November at 6pm and we are delighted to have four eminent QCs who will share their tips for advocacy. Vikram Sachdeva QC, Geoffrey Williams QC, Gregory Treverton-Jones QC and Martin Forde QC will be providing insights into how best to present a case before disciplinary tribunals. Chair: Simon Tinkler, Clifford Chance.

Refreshments will be provided at the conclusion. We look forward to the support for this inaugural Junior ARDL seminar.

Date: 3 November 2015

Venue: 23 Essex Street Chambers, 23 Essex Street, London, WC2R 3AA

Time: 18.00 to 19.00.

Manchester Seminar: The trials and tribulations of arm’s length adjudication

Date: Tuesday 3 March 2015
Registration: 5:30pm
Venue: Exchange Chambers Deansgate, Manchester, M3 3NW

Guest Speaker: His Honour Judge David Pearl
Seminar Chair:  Sarah Ellson, Fieldfisher

SRA: 1.5
BSB: 1.5

Please book your space via Eventbrite invite sent by email.

London Lecture: Human Rights and Regulation: 4 February 2015

Date: Wednesday 4 February 2015
Time: Registration: 5:30pm
Venue: Fieldfisher, Riverbank House, 2 Swan Lane, London, EC4R 3TT

Seminar Chair: Mr. Justice Leggatt, High Court Judge
Guest Speaker: Richard Clayton QC, Barrister, 4-5 Gray’s Inn Square Chambers

Please book your space via Eventbrite invite sent by email.

Chair:

untitled

Sir George Leggatt became a High Court Judge in October 2012 and sits in the Queen’s Bench Division. He hears a wide variety of cases, including cases in the Commercial Court and the Administrative Court, as well as criminal trials and appeals.

Before he was appointed as a judge, Mr Justice Leggatt practised as a barrister at Brick Court Chambers in London, specialising mainly in commercial cases. He also sat part-time as a Recorder in criminal cases on the Western Circuit for 10 years.

Mr Justice Leggatt is married to Dr Stavia Blunt, who until recently worked as a consultant neurologist (though she also had a parallel career as a singer/songwriter). She has now started a business importing olive oil and other natural products from Crete. They have two children – a son who is grown up (and working as a freelance journalist) and a daughter at Edinburgh University.

 

Guest Speaker:

richardclayton

Richard Clayton QC undertakes a wide range of advisory and litigation in public law work, judicial review, human rights and regulatory work. He is hhe United Kingdom’s representative to the Council of Europe’s advisory body on constitutional law (the Venice Commission), having been recently re-appointed until 2018, an ARDL Committee member, a Deputy High Court judge and a former Chairman of the Constitutional and Administrative Law Bar Association. Richard is the joint author of Clayton and Tomlinson The Law of Human Rights (OUIP, 2nd ed, cited by the House of Lords, Supreme Court and Privy Council over 40 times) and has been an Associate Fellow at the Centre for Public Law at Cambridge University since 2001. He has appeared in many House of Lords, Supreme Court and Privy Council cases. Recent work includes Kennedy v Charity Commission (Supreme Court- freedom of information, human rights and common law rights) and an 8 day Court of Appeal constitutional challenge before the Turks and Caicos Court of Appeal (which will be heard in the Privy Council later this year).

 

Junior ARDL Event: Tuesday 2 December 2014

If you are under 10 years PQE or 10 years Call, we would like to invite you to a drinks evening which will provide a great opportunity to meet other practitioners working in this area of law.

Date: Tuesday 2 December 2014
Time: From 6pm
Venue: Cigalon & Baranis, 115 Chancery Lane, London, WC2A 1PP

Please note, this event is for ARDL members only and spaces are limited. Please book your space via Eventbrite invite sent by email.

Seminar: Standard of Proof in Disciplinary Tribunals – 30 October 2014

DATE:      Thursday 30 October 2014

TIME:       Registration from 5.30pm; seminar at 6.00pm

VENUE:   London (Venue TBA)

Please see the flyer for details: Standard of Proof in Disciplinary Tribunals – 30 October 14

Invitations will be sent via email to ARDL members only

Seminar: Manchester – The Work of the Adjudication Function of the SRA – 12 November 2014

DATE:      Wednesday 12 November 2014

TIME:       Registration from 5.30pm; seminar at 6.00pm

VENUE:   Hempsons, City Tower, Piccadilly Plaza, Manchester, M1 4BT

Please see the flyer for details: The Work of the Adjudication Function of the SRA – 12 November 14

Invitations will be sent via email to ARDL members only.

Manchester Seminar: Standard of Proof in Disciplinary Tribunals

DATE:      Thursday 26 June 2014

TIME:       Registration from 5.30pm; seminar at 6.00pm

VENUE:   Weightmans LLP, First Floor, 3 Piccadilly Place, Manchester, M1 3BN

Please see the flyer for details: Manchester Seminar: Standard of Proof in Disciplinary Tribunals

London Seminar: The Work of the Adjudication Function of the SRA

DATE:      Wednesday 25 June 2014

TIME:       Registration from 5.30pm; seminar at 6.00pm

VENUE:   Sherrard Room, Middle Temple, The Honourable Society of the Middle Temple, Middle Temple Lane, London, EC4Y 9AT

Please see the flyer for details: London Seminar: The Work of the Adjudication Function of the SRA.

ARDL Dinner – 2 May 2014: News:

Annual Dinner News: Sir Alan Moses has stepped down as guest speaker for the ARDL Dinner on 2 May 2014 following the recent announcement of his appointment as chair of the Independent Press Standards Organisation. ARDL is however delighted to announce that Desmond Browne QC has kindly agreed to step in as the guest speaker.

We look forward to welcoming everyone for what should once again this year be a most enjoyable evening at The Savoy on Friday.

Manchester Event – Shoosmiths – Regulation of Health and Social Care Professionals

DATE:      Wednesday 30 April 2014

TIME:       Registration from 5pm; seminar at 5:50pm – 7:30pm

VENUE:   Shoosmiths Solicitors LLP, 7th Floor, 3 Hardman Street, Spinningfields, Manchester, M3 3HF

Please see the flyer for details: Manchester Event – Regulation of Health and Social Care Professionals

ARDL Dinner 2 May 2014

The ARDL Annual Dinner will be held at The Savoy Hotel, Strand, London on 2 May 2014.

We are delighted that Sir Alan Moses, Lord Justice of Appeal has kindly agreed to be the guest speaker after the Dinner.

The Dinner will commence at 6.30pm with a champagne reception in The River Room

Dinner will be served at 7.30pm in The Lancaster Room and will include a three course set menu, half bottles of wine and mineral water per person, tea/coffee and petit fours

There will be a cash bar after the formal dinner, until midnight.

Please note that tickets for this event is now fully subscribed, with a waiting list. 

For those who were successful, tickets will be issued to the main contact identified on your booking form, nearer to the date of the Dinner.

Scotland Seminar – 20 March 2014 – “The public interest – do we need to be interested in what the public want from professional regulation?”.

ARDL will be hosting a Seminar in Scotland entitled “The public interest – do we need to be interested in what the public want from professional regulation?”.

DATE:      Thursday 20 March 2014

TIME:       Registration from 4:15; seminar at 4:45pm

VENUE:   Anderson Strathern, Edinburgh

Please see the flyer for details: Scotland Seminar – 20 March 2014

London Seminar – 5 March 2014 – The Impact of Confidentiality in Regulatory Work

ARDL will be hosting a Seminar entitled “The Impact of Confidentiality in Regulatory Work”.

DATE:      Wednesday 5 March 2014

TIME:       Registration from 17:30; seminar at 18:00

VENUE:   Bingham Room, Gray’s Inn, First Floor, The Honourable Society of Gray’s Inn, 8 South Square, London, WC1R 5ET.

Please see the flyer for details: London Seminar – 5 March 2014

Butterworths Disciplinary Tribunals Conference

Chaired by Martin Forde QC, the conference features His Honour Judge David Pearl, Peter Watkin Jones, Solicitor to the Mid Staffordshire Inquiry, and Frances Patterson, Law Commissioner and Timothy Dutton, ARDL Chairman to mention but a few.

DATE:      Wednesday 10th July 2013

VENUE:   Hyatt Regency – London – The Churchill

Please see the full programme agenda here.

ARDL members receive a 20% discount. You can click here to book or email ebookings@lexisnexis.co.uk and quote code: ARDL20.

Manchester Seminar – Ongoing monitoring and revalidation for regulators

ARDL will be hosting a Seminar entitled “Ongoing monitoring and revalidation for regulators”.

DATE:      Monday 24 June 2013

TIME:       Registration from 17:30; seminar at 18:00

VENUE:   Weightmans Solicitors , Manchester – Piccadilly Place First Floor, 3 Piccadilly Place,
Manchester M1 3BNat a venue to be advised in Manchester.

Please see the flyer for details: Manchester Seminar – 24 June 2013

Lecture – 26 March 2013 – Top Tips and Pitfalls in Tribunal Advocacy

ARDL is delighted to be hosting this topical event.

DATE: 26 March 2013

TIME: 17:30 registration for 18.00 seminar.

VENUE: Berwin Leighton Paisner, Adelaide House London Bridge London EC4R 9HA

CHAIRED BY: David Etherington QC

Full details can be found here: ARDL Seminar – 26 March 2013