A new episode of RT Plus is out now and available to stream and download.
In this episode we’re playing a conversation that took place recently between Katie Stephen and Sonya Zywko regarding how to deal with enquiries from the regulator regarding market disclosures, including discussion of how to mitigate the risk of receiving an
Date: 7 July 2021
Time: 08:30am – 10:00am GMT
We are pleased to invite you to our inaugural financial services academy. The academy will take the form of a series of online webinars that are aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. During the
On 3 June 2021, the FCA issued a statement on its website confirming that it is extending the end date of the temporary registrations regime (TRR) for existing crypto-asset businesses from 9 July 2021 to 31 March 2022.
The FCA adds that:
A year ago we wrote about the risks and challenges of using of WhatsApp at work. Twelve months on and we have seen a number of developments including recent guidance from the FCA which stated that it has acted against individuals and firms for misconduct which involved the use of WhatsApp and other social media
Date: 14 April 2021
Time: 08.50-09.30 GMT
Senior management and boards acknowledge the threat of financial crime as a critical risk to their business, which has been exacerbated in the last 12 months through the impact of the pandemic.
The expansion of virtual currencies, the registration of trusts, and the emphasis on RegTech and FinTech
On 8 March 2021, the FCA published a speech by its Executive Director of Enforcement and Market Oversight, Mark Steward, at the Expert Forum: Market Abuse 2021.
Key points include:
Volumes and STORs
Episode 3 of the Regulation Tomorrow Podcast is out now. In this month’s episode we catch up on Brexit with Jonathan Herbst, we take a global look at vulnerable customer initiatives with John Coley from the Risk Consultancy practice in London and Helen Taylor from Sydney, and we speak to Katie Stephen and Sonya Zywko
The resurgence of COVID-19 in the UK and a corresponding change in government guidance around remote working has caused many firms to rethink plans for a gradual return to the office in the near term. Earlier this year we wrote about the FCA’s focus on the heightened risk of market abuse in a remote working
The recording from the October 40 Minute Briefing, Learning lessons: Proactive governance in the autumn, is now available here.
In the October edition of the webinar we focussed on “lessons learned” reviews, examining how such reviews can be successfully conducted so that they are valuable exercises. The webinar also considered skilled persons reviews, focussing
Operational incidents show no signs of abating: in recent years, there have been a number of high profile cyber-attacks by third parties, as well as IT incidents such as those resulting from system updates and migrations. Certain of these have attracted regulatory attention and in this final part of our three part series on operational