Compliance Update Conference 2020

Our one day Compliance Update Conference has been specially designed for accountants who require an update on current compliance issues. Speakers will look at recent and upcoming key changes together with other current issues and lessons learned, to enable those attending to give the best possible advice to their clients.


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Full conference agenda


David Norris

This session will look at the key points coming out of recent QAD visits in this area and then run through some example queries received by the Mercia technical helpline.

The queries will cover the following areas (and full answers will be given):

  • Customer Due Diligence
  • Obtaining ID
  • When to report
  • Tipping off
  • Privileged exemption
  • Other topical areas

James Burgoyne

During this session James will provide a review of risk management processes as a result of real life claims examples.


David Norris

This session will review the QAD’s published findings on their monitoring visits, as well as some regulatory cases published in Economia. It will also cover new technical areas of risk for firms. The aim of the session is to ensure delegates are aware of key procedures / practices they should robustly operate in their practice.

The session will cover the following areas:

  • Clients’ Money Regulations
  • Investment Business (DPB) policies
  • IT and data security risks
  • Client engagement problems
  • CPD documentation

Louise Dunford

Session content will be updated to the conference date and will depend to an extent upon developments in the time leading up to the event, but it will contain some or all of the following:

  • Covid and GDPR
  • CJRS update and business restructuring following the lockdown
  • Employment status – new cases involving casuals and possible changes to IR35 in April 2021
  • Payroll issues including sick pay, holiday pay, and minimum wage
  • Redundancy – substantive law and procedure

Sharon Cooke

In these sessions we will revisit the core aspects of “Professional Conduct in Relation to Taxation” (PCRT), consider what the ICAEW may look at and ask during a QAD visit and review the additional guidance added this year for Research and Development claim services. We’ll also look at other areas of Tax Compliance – including the Criminal Finance Act 2017 and EU Council Directive 2011/16 (DAC6) – and summarise the red flags for you and your teams to be aware of. We’ll close the day by looking ahead and considering the 2020 HMRC Call for Evidence on “Raising standards in the tax advice market”.


Sharon Cooke

In these sessions we will revisit the core aspects of “Professional Conduct in Relation to Taxation” (PCRT), consider what the ICAEW may look at and ask during a QAD visit and review the additional guidance added this year for Research and Development claim services. We’ll also look at other areas of Tax Compliance – including the Criminal Finance Act 2017 and EU Council Directive 2011/16 (DAC6) – and summarise the red flags for you and your teams to be aware of. We’ll close the day by looking ahead and considering the 2020 HMRC Call for Evidence on “Raising standards in the tax advice market”.

Conference speakers


David is the Product Director. He joined SWAT UK in 2000 as an audit lecturer and reviewer, having qualified as a Chartered Accountant with South West firm Thomas Westcott.

In 2014, David was appointed to the Board as Training Director and is responsible for the content, delivery and development of all SWAT UK courses throughout the country and over the web, before moving onto his current role.

He also remains responsible for the Southern region and for the service delivered to all clients in that region, and he still performs a large number of file review visits and lectures, mainly in the areas of audit and financial reporting.


James Burgoyne is the claims and technical director at Brunel Professions, responsible for overseeing their claims and technical team. James ensures all Brunel clients receive award-winning risk management and claims servicing. Alongside this, he regularly writes articles for many of Brunel’s affiliates on insurance, risk and associated topics and has represented Brunel as a speaker at a variety of CPD events for professional services.


Louise has since 1987 been continuously involved in training and consultancy, both for professional firms and for commercial organisations. Until recently she also worked as an associate senior lecturer at the University of Portsmouth where she was mainly engaged on postgraduate teaching on the MBA, MA Personnel Management and MA Business Law, and she retains an active relationship with the University, having taught on their IPD courses in Grand Cayman and Guernsey. Louise specialises mainly in aspects of practical employment law, company law and on professional negligence, and has published widely in leading academic and professional journals.


Sharon joined us in 2004 having been a manager in practice. Starting out as an audit file reviewer and lecturer, Sharon's role has developed and changed over the years and she is now an Executive Director and a tax CPD lecturer. Understandably, topics such as “Tax Update for Audit and Accounting teams” are a particular specialism of Sharon’s.

Sharon heads up the London and South East region of our group and works with numerous accountancy firms and networks based in that region to understand their needs and ensure our business strategy remains aligned to meeting those needs. As well as services around “Train”, “Promote” and “Support”, Sharon and the London team also help accountancy practices with ICAEW student monitoring and graduate recruitment.

From a tax perspective, Sharon is a Chartered Institute of Taxation prize-winner (2005 Gilbert Burr medal) and is a member of the London Society of Chartered Accountants tax committee. She authors and presents a selection of our tax CPD courses, including the Spring and Autumn Tax Update, Finance Act Update and the Quarterly Tax Update Key Issues webinars.

One Day Conference