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Topic: Seminars, webinars and podcasts

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Financial Services Academy: Focusing on financial promotions

On 2 February 2022, we will be holding the second session in our Financial Services Academy, a series of online webinars aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. During this session, our financial services team will guide attendees through the key components of the … Continue Reading

RT Plus – PS 21/16 on issuing statutory notices: A new approach to decision makers

A new episode of RT Plus is available now to stream and download. In this episode, Katie Stephen, Co-Head of the Contentious Financial Services Group in London, is joined by Rebecca Dulieu, Senior Associate, to discuss the FCA’s recent Policy Statement on issuing statutory notices, under which the FCA is reforming its decision-making process. Katie … Continue Reading

The RT Plus UK IFPR Series continues with podcasts on committees and ICARA

The RT Plus IFPR Series continues with two further episodes available to stream and download. In this bite-sized series, each episode features a quick run through the issues pertaining to some of the key headlines of the new prudential regime for investment firms in the UK. In these two latest episodes, Compliance Manager, Victoria Pridmore, … Continue Reading

New RT Plus podcast on FCA Authorisations – out now

A new RT Plus episode covering the FCA authorisation process is out now to stream and download. In this episode, Head of Risk Consulting EMEA Advisory, Lisa Lee Lewis, is joined by Compliance Manager, Victoria Pridmore, to discuss various aspects of the authorisation process. They look at recent issues and updates from the FCA in … Continue Reading

The Future Regulatory Framework Review – RT Plus Podcast out now

Another episode of RT Plus is out now to stream and download. In this episode we are delighted to be joined by UK Finance’s Director of Strategy and Policy, Matthew Conway, for a lively discussion on the Treasury’s latest consultation paper on the Future Regulatory Framework Review. In this episode, Jonathan Herbst and Matthew Gregory … Continue Reading

Norton Rose Fulbright | Transactions special: Deal making in a regulated environment

3 More London Riverside SE1 2AQ  08 December 2021 | 08:50 – 09:30 GMT There have been many macro-economic factors driving enhanced deal volumes in the last few years, from Brexit to pandemic-related realignments. Transactions involving regulated entities present unique challenges to principles, as well as their lawyers and other advisors throughout the transaction timeline. … Continue Reading

Latest episode of the RT Plus Evolution and Divergence series – out now

The latest episode of the RT Plus podcast series on Evolution and Divergence – Markets in the EU and UK, is out now. In this third episode we look at potential changes to the bonds and derivatives regime in both the UK and Europe. With the Wholesale Markets Review currently underway in the UK and … Continue Reading

Norton Rose Fulbright | Transactions special: Deal making in a regulated environment

3 More London Riverside SE1 2AQ 08 December 2021 | 08:50 – 09:30 GMT There have been many macro-economic factors driving enhanced deal volumes in the last few years, from Brexit to pandemic-related realignments. Transactions involving regulated entities present unique challenges to principles, as well as their lawyers and other advisors throughout the transaction timeline. … Continue Reading

RT Plus – Recent U.S. Enforcement Developments

A new episode of RT Plus is available now to stream and download. This episode features Celia Cohen and Samuel Ramer, both of whom are partners in NRF’s US practice. This podcast will be of particular interest to US based firms but also to non-US firms that have some dealings with the US. In this … Continue Reading

Global webinar on 18 November 2021 – ESG regulation: Global themes and what’s on the horizon

We invite you to join our webinar on 18 November 2021 in which our global financial services team will discuss and examine recent ESG related developments across key jurisdictions and provide their views on what’s on the horizon. The webinar will be held on the following times during 18 November 2021: 14:00 SGT and HKT … Continue Reading

RT Plus episode on commodities firms under the UK IFPR regime – out now

The latest episode of RT Plus is out now to stream and download. This episode continues our UK IFPR Series and focusses on the requirements imposed upon commodities firms. In this episode of RT Plus, Jonathan Herbst, Hannah Meakin and Jochen Vester discuss the application of the IFPR regime to commodities firms at a macro … Continue Reading

Global webinar on 18 November 2021 – ESG regulation: Global themes and what’s on the horizon

We invite you to join our webinar on 18 November 2021 in which our global financial services team will discuss and examine recent ESG related developments across key jurisdictions and provide their views on what’s on the horizon. The webinar will be held on the following times during 18 November 2021: 14:00 SGT and HKT … Continue Reading

Finance of the future – Hot topics and prevailing themes from the innovative world of FinTech

3 November 2021 | 08:50 AM – 9:30 AM GMT FinTech is arguably the most innovative area within financial services. The nexus between technology and finance has opened new markets, created entirely new types of product and in doing so, presented unique and previously unforeseen challenges to financial regulators. From the growth of payment services … Continue Reading

New episode of RT Plus – HMT consult on the regulation of Buy Now Pay Later

A new episode of RT Plus is out now. In this latest episode we speak to Matthew Gregory and Joe Bamford about the Treasury’s consultation paper on the regulation of Buy Now Pay Later (BNPL) products. The consultation, published on Thursday 21 October, follows the Woolard review earlier in the year, which proposed the regulation … Continue Reading

Episode 11 of the Regulation Tomorrow Podcast is out now

The latest episode of the Regulation Tomorrow Podcast is out now to stream and download. In this episode we hear from Celia Cohen in New York who discusses privilege, particularly in the context of internal investigations; Joe Smallshaw and Catherine Pluck discuss the Frensham case and how the FCA treats non-financial misconduct; and Lisa Lee … Continue Reading

RT Plus Evolution and Divergence Series – Episode 2 on equities is out now

The second episode in our special RT Plus series, Evolution and Divergence: Markets in the EU and UK, is out now to download and stream. In this mini-series, we are examining the evolution of the markets regime in both the UK and EU, drawing out any divergences are likely to emerge. In this episode, Jonathan … Continue Reading

Regulation Tomorrow Plus – UK IFPR series: Governance and Remuneration

In this latest podcast in our new mini-series focussing on the new UK Investment Firm Prudential Regime (or UK IFPR), brought to you as part of the Regulation Tomorrow podcast, we look at governance requirements, the ICARA process and the new MiFIDPRU Remuneration Code to firms. In addition, we have developed an IFPR: Impact product … Continue Reading

The future of the UK retail investment market: a post-Brexit and COVID-19 outlook

8 September 2021 | 08:50 AM – 09:30 AM BST In retail – the front line of the financial sector – things have moved on significantly since the start of the COVID-19 pandemic with the introduction of new technology and investment opportunities. With these changes new risks have emerged, increasing vulnerability among consumers – particularly younger consumers … Continue Reading

Episode 10 of the Regulation Tomorrow Podcast out now

The bumper crop of podcasts continues this week with the release of Episode 10 of the Regulation Tomorrow monthly podcast. In this episode we hear from Norton Rose Fulbright’s US Head of Fintech, Steve Aschettino, who gives an overview of the payments landscape in the US and some of the prevailing trends in the area. … Continue Reading

RT Plus Podcast – Evolution and Divergence: Markets in the EU and UK – Commodities

The first episode in a new RT Plus mini-series, Evolution and Divergence: Markets in the EU and UK, is available now to stream and download. This podcast is the first in a series of five podcasts covering the changing nature of markets in Europe and also the degree to which this results in divergence with … Continue Reading

RT Plus – The PRA’s approach to branch and subsidiary supervision – PS19/21 – out now

An RT Plus episode on the PRA’s PS19/21 policy statement on branch and subsidiary supervision is out now to stream and download. In this latest episode, Jonathan Herbst and Matthew Gregory discuss the impact of this on foreign firms operating by way or branch or subsidiary in the UK. RT Plus and the Regulation Tomorrow … Continue Reading

Regulation Tomorrow Plus – UK IFPR series: Own funds requirements, fixed overheads requirements, and the K-factors for Assets Under Management and Client Orders Handled

The second podcast in our new mini-series focussing on the new UK Investment Firm Prudential Regime (or UK IFPR), brought to you as part of the Regulation Tomorrow podcast, covers own funds requirements, fixed overheads requirements, and the K-factors for Assets Under Management (K-AUM) and Client Orders Handled (K-COH). In addition, we have developed an … Continue Reading

Regulation Tomorrow Plus – UK IFPR series: An introduction to the UK IFPR and its application to different types of firm

The first podcast in our new mini-series focussing on the new UK Investment Firm Prudential Regime (or UK IFPR), brought to you as part of the Regulation Tomorrow podcast, provides an introduction to the UK IFPR and its application to different types of firm – CPMIs, commodities firms, exempt CAD firms and the application to … Continue Reading
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