The webex recording of our February 40 minute briefing, Buy-side focus, is now available. To access the recording, please click here. To register for or access our Asset Management Regulation Hub referenced in the briefing, please click here. The Asset Management Regulation Hub is a free service in which you will find resources to help monitor … Continue Reading
An increasingly globalised business environment, coupled with a growth in technology, continues to increase the risk of financial crime for all institutions. With this in mind, our Regulatory Compliance Consulting team have identified what they see as the key financial crime threats and issues that should be of focus for Heads of Financial Crime, Money … Continue Reading
Our financial crime video series sees our Regulatory Compliance Consulting team explore some of the key threats and issues facing the industry. In the latest video, Christian Blackwell and Tunde Fasoyiro discuss the 5 biggest mistakes that firms are still making when dealing with their KYC onboarding. Watch the video here. Videos are published on a … 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 Alina Rotari give their views on the top 5 areas for 2019 in terms of conduct risk. Watch the … 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, Christian Blackwell and Anna Phillips discuss 5 main reasons why risk and compliance frameworks fail. Watch the video … 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
The webex recording of our January 40 minute briefing, Brexit – deal or no deal, is now available. To access the recording, please click here. If you would like access to our Brexit Pathfinder hub referenced in the briefing, registration is free via the NRF Institute here. Our exclusive PathfinderPLUS service, containing conformed copies of the … Continue Reading
Our next 40 minute briefing on the Senior Managers’ Regime will be held on 5 December 2018. To register for the briefing please click here.… Continue Reading
Our next 40 minute briefing on avoiding the pitfalls of an FCA themed visit will be held on 7 November 2018. To register for the briefing, please click here.… Continue Reading
The webex recording of our October 40 minute briefing on sell-side focus is now available. To access the recording please click here.… 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 3rd UK Financial Services Brexit and Beyond Summit. The Summit, organised by City and Financial in partnership with the City of London Corporation, TheCityUK and UK Finance, will explore the implications of Brexit for the financial services industry. Key themes in this timely programme include The Government’s … Continue Reading
The webex recording of our recent extended 40 minute briefing on Brexit and the future of financial services is now available. To access the recording please click here.… Continue Reading
We are pleased to announce the following new dates for our 40 minute briefing series: 7 November 2018: Avoiding the pitfalls of an FCA themed visit 5 December 2018: Senior Managers Regime: the clock is ticking 9 January 2019: Brexit: deal or no deal 6 February 2019: Buy-side focus To find out more information about … Continue Reading
The webex recording of our recent 40 minute briefing on FinTech a revolution in the financial services industry is now available. To access the recording please click here. … Continue Reading
We are pleased to announce the following new dates for our 40 minute briefing series: 6 June 2018: Buy-side focus 4 July 2018: Extending the Senior Managers’ Regime 5 September 2018: Brexit and the future of financial services 3 October 2018: Sell-side focus To find out more information about each seminar, and to reserve your … Continue Reading
The webex recording from the first part of our recent 40 minute briefing on MiFID II (what we are seeing in the market and what is still to come) is now available. Access the recording… Continue Reading
On 7 March 2018, the London financial services team will be holding an extended 40 minute briefing covering MiFID II: post implementation review. The briefing will start at the usual time of 8:45am but will finish at 11:30am. A detailed programme is set out below. We are pleased to advise that Stephen Hanks from the … Continue Reading
The webex recording of our recent 40 minute briefing entitled SMCR: the new era of increased accountability is now available. To access to recording link please click here.… Continue Reading
We are pleased to announce the following new dates for our 40 minute briefing series: 7 February 2018: SMCR: the era of increased individual accountability 7 March 2018: Extended briefing – MiFID II: post implementation review 11 April 2018: The prudential academy 2 May 2018: FinTech: revolution in the financial services sector To find out … Continue Reading
The recording of our latest MIFID II Academy webinar is now available. The webinar is an update on algorithmic trading, DEA and third country issues. Click here to register. Following registration the recording of the webinar will automatically launch. … Continue Reading
On 1 June 2016, the London Financial Services team will be holding their latest 40 minute briefing. In the 40 min briefing we will focus on: the final countdown to the Market Abuse Regulation; anti-money laundering; de-risking and preparing for the Fourth Anti-Money Laundering Directive; the regulators’ proposals to implement the Government’s enforcement decision-making review; … Continue Reading
Registration is now open for our next series of MiFID II Academy webinars. Upcoming webinars include: Delegated Directive – Client assets and product governance on 19 May 2016; Delegated Directive – Inducements and research on 2 June 2016; Delegated Regulation – Definitions on 16 June 2016; and Delegated Regulation – Organisational requirements for investment firms … Continue Reading
