Norton Rose Fulbright is pleased to be sponsoring the 1LoD Summit in New York on 2 April 2019. The 1LoD Summit is the largest US event dedicated to front office risk and control functions, covering topics such as supervision, control assurance, conduct risk, surveillance, rogue trading and much more. The Summit is designed for those working in … Continue Reading
Our governance and conduct video series sees our Regulatory Compliance Consulting team explore some of the key areas firms must consider to ensure effective and efficient governance and control frameworks. In the latest video, Christian Blackwell and Tunde Fasoyiro discuss the ways that firms can measure effective conduct. You can watch the video here. We … Continue Reading
The latest video in our risk and compliance series, which sees our Regulatory Compliance Consulting team explore some of the key issues facing risk and compliance functions today, is now available to watch online. In the video, which can be watched here, Christian Blackwell and Alina Rotari explore the ways that firms can prepare more … Continue Reading
Our Regulatory Compliance Consulting team is pleased to announce new dates in its webinar series, which explores the challenges facing risk and compliance functions and the practical considerations firms should be taking in order to drive and embed an effective and sustainable control environment. January 17 – Risk and compliance framework for asset managers – … Continue Reading
On 15 November 2018, Norton Rose Fulbright co-sponsored the 1LoD Summit at The Dorchester hotel in London. The conference brought together over 250 senior members of the financial services community, with panels focussed on key areas such as governance, controls testing, surveillance and culture. A lot of time was spent discussing opportunities for improving the … Continue Reading
Our new governance and conduct video series will see our Regulatory Compliance Consulting team explore some of the key areas firms must consider to ensure effective and efficient governance and control frameworks. In the first video, John Davison, Head of Regulatory Compliance Consulting, and Alina Rotari, Compliance Executive, give their views on the 5 key … Continue Reading
Continued scrutiny by authorities, growing focus on conduct, culture and personal accountability and complex regulatory and industry developments are at the forefront of challenges facing compliance and risk functions today. Join members of our Regulatory Compliance Consulting practice as they look at some of these challenges in more detail and explore the practical considerations firms … Continue Reading
Norton Rose Fulbright is pleased to be sponsoring the 1LoD Summit in London on November 15. The 1LoD Summit is the largest event in the world dedicated to the front office risk and control function within the business. Topics on the agenda will include Supervision, Control Assurance, Conduct Risk, Surveillance, Rogue Trading and more. The Summit is designed … Continue Reading
The webex recording of our recent 40 minute briefing on the financial crime update is now available. To access to recording link please click here.… Continue Reading
Our latest Regulatory Compliance Consulting webinar is now available. This webinar covers financial crime and the Fourth Money Laundering Directive. To access the webinar please register here.… Continue Reading
The Wolfsberg Group (the Group) has published updated guidance as to how financial institutions should handle the money laundering risks posed by politically exposed persons (PEPs). This updates the guidance that the Group initially issued in 2003 and the FAQs issued in 2008. The updated guidance lays out what the Wolfsberg Group considers to be … Continue Reading
Continued scrutiny by authorities, enforcement actions and complex regulatory developments are at the forefront of the challenges facing all financial services providers today. A robust, sustainable and risk based framework of controls is a pre-requisite for organisations, not only to maintain compliance with regulatory obligations, but to ensure that emerging risks are identified and assessed … Continue Reading
The European Parliament has issued a press release stating that is has returned to the European Commission its list of countries deemed to be at risk of money laundering and terrorist financing. The press release states that MEPs feel that the list is too limited and that it should be expanded to cover, for instance, … Continue Reading
The FCA has published a MiFID II application and notification user guide. The guide deals with: applications for authorisation as investment firms or data reporting service providers, recognition of investment exchanges, variation of permission and change of legal status; and notifications to provide regulatory information by firms authorised by the FCA, recognised exchanges and others, … Continue Reading
The webex recording of our latest MiFID II Academy briefing, Spotlight on markets and third country provisions, is now available. To access the recording please click here… Continue Reading
We are pleased to announce that the recording of our latest MiFID II webinar covering wholesale conduct is now available. To access the webinar recording please click on the link below to register. Once you have registered, a new page will appear on the screen and click “Launch presentation”. View MiFID II Academy webinar: Wholesale … Continue Reading
The FCA has published a speech given by Megan Butler (Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA). The speech is entitled A more effective approach to combatting financial crime. Key points in the speech include: the FCA takes a proportionate regulatory approach and wants to encourage innovation. The FCA focuses … Continue Reading
The webex recording of our September MiFID II Academy 40 minute briefing is now available. To access the recording please click here.… Continue Reading
On 22 September 2016, the London financial services team is holding its latest financial crime seminar. To learn more and register please click here… Continue Reading
Anti-money laundering remains a top priority for the FCA in 2016/17, as emphasised in its latest anti-money laundering report. The regulator will be focusing its supervision on higher-risk firms and use its enforcement powers where it identifies firms with material weaknesses in their money laundering controls. The Fourth Anti-Money Laundering Directive (4MLD) together with the … Continue Reading
