For the latest webinar exploring topics where regulatory and insolvency issues meet, we were joined by members of KPMG’s restructuring group to provide an update on the impact of COVID on directors’ duties in regulated firms. Topics included: Companies Act and common law and equitable duties versus duties under the senior managers and certification regime … Continue Reading
We are evolving our successful 40-minute briefings into webinars for financial services professionals. This includes senior management and those in legal, compliance and risk teams who have or are developing financial services expertise. The webinars will be led by senior members of our financial services team from legal, risk consulting and government affairs backgrounds and … Continue Reading
We invite you to join us along with members of KPMG’s restructuring group for an update on the impact of COVID-19 on directors’ duties in UK regulated firms. The webinar will take place on 16 September 2020 from 8:30am to 9:30am. Topics will include: Companies Act and common law and equitable duties versus duties under … Continue Reading
The recording from our recent financial services 40 minute briefing, Brexit: Where have we got to and what should you do now? is now available here.… Continue Reading
Wednesday, 2 September 2020 | 8:45 – 10:00 BST We are evolving our successful 40 minute briefings into webinars for financial services professionals. This includes senior management and those in legal, compliance and risk teams who have or are developing financial services expertise. The webinars will be led by senior members of our financial services … Continue Reading
Webinar on 2 September 2020 at 8:45am to 10:00am (BST) We are evolving our successful 40 minute briefings into webinars for financial services professionals. This includes senior management and those in legal, compliance and risk teams who have or are developing financial services expertise. The webinars will be led by senior members of our financial … Continue Reading
Client money The COVID-19 pandemic is having a severe impact on many business sectors, and financial institutions are no exception. Many firms are likely to encounter challenges of one form or another in the coming months, as countries emerge from lockdown and seek to resume normal business at different times, and the applicable legal and … Continue Reading
On 1 July we will be releasing the July edition of the 40 minute briefing. The webinar will cover issues relating to operational resilience, with views from lawyers and consultants on the following: The operational resilience process – mapping, impact tolerances and testing Outsourcing and third party supply What we are seeing in the market … Continue Reading
Tuesday 14 July | 08:30H BST We invite you to join our interactive webinar during which we will discuss recent LIBOR transition updates from a loans, derivatives and regulatory perspective as well as talk about some of the key risks and challenges from a disputes viewpoint. With some banks well underway with the due diligence … Continue Reading
Financial institutions have to deal with two challenges in the face of the COVID-19 pandemic. The first challenge is financial – how to address and mitigate the sharp drop in the value of financial assets or loss of liquidity. The second challenge is operational – how to address the risk of failure of resources (people, … Continue Reading
Regulatory, insolvency and accounting perspectives The COVID-19 pandemic is having a severe impact on many business sectors, and financial institutions are no exception. Many firms are likely to encounter challenges of one form or another in coming months, as countries emerge from lockdown and seek to resume normal business at different times, and the applicable … Continue Reading
The recording of our June 40 minute briefing webinar is available here. The webinar covers: Key recent EU developments. The latest UK developments affecting asset managers. Spotlight on Environment Social Governance issues. What should asset managers be doing to prepare for the IBOR transition? Key compliance and governance questions for asset managers, including operational resilience … Continue Reading
In the June edition of the 40 minute briefing, members of our financial services team in London will be joined by colleagues from our government and regulatory affairs team and risk consultancy practice to discuss the hot topics currently impacting the asset management sector. In this webinar, we will cover: Key recent EU developments. The … Continue Reading
In its latest financial services 40 minute briefing webinar lawyers, compliance and government relations professionals from our financial services group considered market conduct in these uncertain times. Whilst the FCA has been flexible in its approach so that firms may focus on operational resilience during the pandemic the regulator has made it clear that the … Continue Reading
Our latest 40 minute briefing webinar will be taking place on 6 May 2020 from 8:45am to 9:45am. In this latest webinar lawyers, compliance and government relations professionals from our financial services group consider market conduct in these uncertain times. The webinar will cover: Hot market integrity topics: (i) adverse financial performance and inside information … Continue Reading
Regulators see good governance, which enables effective oversight of decision making, as critical to the delivery of sound business management and reducing potential harm to consumers and market participants. Within the current climate, the FCA is also recognising that firms directly affected by coronavirus will need to keep their governance arrangements under review and make … Continue Reading
We live in an era in which regulators and the court of public opinion are often unforgiving of any perceived or actual failings. The implementation of the Senior Managers and Certification Regime (SMCR) for FCA firms has brought this home but it is part of a much bigger picture. We have seen an increasing focus … Continue Reading
Our extended 40 minute briefing on 1 April 2020 will be a practical workshop focussing on the accountability agenda and will involve members of our financial services consultancy and legal teams which cover both non-contentious and contentious scenarios from a regulatory and employment law perspective. Particular focus areas will be: SMCR post implementation agenda – … Continue Reading
The recording of our March 40 minute briefing webinar is now available here. The webinar covers: Open finance: Our thoughts on the FCA’s call for input Vulnerable customers: What you need to know in a nutshell Conducting retail business: Common pitfalls that wholesale firms may find themselves in Conduct risk in the retail space… Continue Reading
Our 40 minute briefing on 4 March 2020 will be a webinar and will focus on the current state of play in the retail sector. Further information on the webinar can be found here. Online attendance only – please do not come to our offices.… Continue Reading
Our team in London have produced a series of videos exploring what is on the horizon for financial services firms in 2020. Watch now via the links below: Market infrastructure (Hannah Meakin) FinTech (Albert Weatherill) Risk and compliance (John Coley and Lisa Lee Lewis)… Continue Reading
Our extended 40 minute briefing on 1 April 2020 will be a practical workshop focussing on the accountability agenda and will involve members of our financial services consultancy and legal teams which cover both non-contentious and contentious scenarios from a regulatory and employment law perspective. Particular focus areas will be: SMCR post implementation agenda – … Continue Reading
Our 40 minute briefing on 4 March 2020 will be a webinar and will focus on the current state of play in the retail sector. Further information on the webinar can be found here. Online attendance only – please do not come to our offices.… Continue Reading
Our extended 40 minute briefing on 5 February 2020 will be a practical workshop involving lawyers and compliance professionals leading roundtable discussions that provide insight into the FCA’s and PRA’s approach to the scenarios set out below and the good and poor practices they have observed from firms: Managing the supervisory relationship on a business-as-usual … Continue Reading
