Compliance Update Conference 2019

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.

The topics covered are:

  • General Practice Regulations
  • Data Protection
  • Risk Management
  • Topical Tax Compliance Issues
  • Money Laundering Regulations
  • HR & Employment Compliance Issues


CPD Hours: 6

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Full conference agenda

David Norris, Mercia Group Ltd
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

Andy Larkum, ADL Consulting
With 30% of businesses admitting that they are still not compliant (and if we're honest, a large number of the rest will have been lying!), many businesses are left wondering what all the fuss was about. In this session we will look at some of the newsworthy GDPR stories; and we'll use a real-world case study to explore the potential impact of a data breach in your firm.

Adrian Gibbons, Mercia Group
Over the years Adrian has seen a significant increase in firms of accountants being sued by clients for negligence. It comes as no surprise that we are operating in an increasingly litigious business environment. The attitude of ‘I have lost money who can I blame’ together with the willingness of our legal colleagues to take on no win no fee cases has seen an increase in notification to the firms PII underwriters.

Adrian sees the results of this in his work with the PII firms and through his involvement with professional disciplinary investigations. This session looks at what you as a practitioner should do to avoid having a claim and how best you can defend yourself and the firm against a claim. This session is not about professional indemnity insurance (assuming you all have adequate insurance!) it is about your procedures to manage risk.

The session will cover:

• Introduction
• The basis of a claim
• Engagement terms and procedures
• The difference between Audit and Tax in terms of risk management
• Quality control and risk management
• Conclusion

Emma Gilbert-Smith, SWAT
HMRC have stated that over the next five years, they will bring in an extra £7.2 billion revenue by tackling evasion and noncompliance. In light of this, we look at HMRC’s powers to open and conduct enquiries, issue determinations and levy penalties. We consider common pitfalls for taxpayers and look at ways you can help limit the number of HMRC enquiries made to your clients. Recent case outcomes will also be discussed.

David Norris, Mercia Group Ltd
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

Kate Shepherd, Kate Shepherd Associates
Kate will cover the most important changes to all aspects of employment law over the last 12 months. Covering all the 'need to
know' HR cases and legislation ensuring you have an overview of the latest employment compliance issues including:

• Employment status – workers/employee/self-employed status and the gig economy
• Latest government changes to employment law including-contracts, pay slips and calculating holiday
• The effect of Brexit on employment law compliance
• National minimum wage and working time – latest position on holiday pay, sick pay, rolled up pay, commission payments and on call payments
• Discrimination and the Equality Act 2010
• What’s in the pipeline? A look at some future changes
• Ask Kate…. Kate will also aim to answer your burning questions!

Conference speakers

Previously the Managing Director of SWAT UK, Adrian is now one of Mercia’s A&A Consultants. He is a very entertaining speaker who lectures regularly on audit and accountancy topics for the ICAEW, ACCA, District Societies and other training groups. Outside work, Adrian is a keen sailor and is currently Vice Commodore of the Colne Yacht Club based in Brightlingsea.

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.

Emma qualified as a Chartered Management Accountant in 2007 and has worked in the Public Sector, Practice and as a VAT Officer for HMRC. Emma joined SWAT UK in 2014 and spends her time working on student courses and tax and accountancy webinars.

Kate Shepherd is a charismatic employment lawyer and delivers both training and consultancy. She trains and advises a diverse set of employers from small and medium sized enterprises to charities, PLCs and international companies, as well as taking board level director roles for some clients. Prior to establishing her consultancy, Kate Shepherd Associates in 2005, Kate qualified as a solicitor, and practised employment law at a senior level with a leading firm in the Midlands.

Andy Larkum has over 16 years experience in the IT industry. In recent years, he has specialised in Cyber Security and GDPR. An accomplished speaker, Andy excels at making this often confusing topic clear and accessible to both the knowledgeable and the uninitiated alike.

One Day Conference