In this new edition of Regulation Around the World we review the UK Financial Conduct Authority’s (FCA) Consumer Duty (UK Consumer Duty) and see if other international financial services authorities have already got similar concepts in their frameworks; or whether the UK Consumer Duty not only sets a new UK standard
New Navigating Communications podcast – Promotional messages on social media platforms
In our latest podcast, our global Financial Services team discusses promotional messages on social media platforms, covering recent regulatory and enforcement developments in the UK, US and Dubai, as well as practical steps that global firms can be taking now in this area to manage their risk.
Listen to the episode here.
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New Navigating Communications podcast – Part 1: Off-channel messaging
In our latest podcast, our global Financial Services team covers recent regulatory and enforcement developments in the UK, US, Australia and Dubai in relation to off-channel messaging, as well as practical steps that global firms can be taking now in this area to manage their risk.
Listen to the episode here.
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New briefing note – FinCEN issues new AML rule impacting registered investment advisers and exempt reporting advisers
On August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule that will impose new anti-money laundering and countering terrorism financing (AML/CFT) program requirements on registered investment advisers and exempt reporting advisers (collectively, Covered IAs) by, among other things, including Covered IAs within the definition of “financial
New Regulation Tomorrow Plus Podcast – FCA CP24/7 on payment optionality for investment research
In our latest Global Regulation Tomorrow Plus podcast Partner Jonathan Herbst and Of Counsel Uzmah Yunis share their thoughts on the FCA’s recent consultation paper on payment optionality for investment research. Mark Highman, a financial services partner in New York, also provides a US perspective.
Listen to the episode here.
Regulation Around the World – Investment Research
In the latest instalment of our Regulation Around the World series, Financial Services partners in over 10 jurisdictions review recent steps that financial services regulatory authorities have taken as regards investment research.
Our global updater is accompanied by further analysis and insights in our Regulation Around the World podcast which is available now to stream