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Topic: Seminars, webinars and podcasts

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Webinar | IFR / IFD: the new prudential regime for MiFID II investment firms

Date: 12th May 2021 Time: 08:50am – 09:30am GMT Set to take effect in Europe on 26 June 2021 and in the UK on 1 January 2022, the Investment Firm Regulation (IFR) and the Investment Firm Directive (IFD) will make significant changes to the framework governing investment firms authorised under the revised Markets in Financial … Continue Reading

ABC Risk assessments: FAQs

Last month we hosted a webinar on anti-bribery and corruption (ABC) risk assessments. This was the first in our series of ABC compliance webinars marking the 10th Anniversary of the UK Bribery Act coming into force. You can listen to the audio recording of the webinar on-demand here. We have put together a selection of … Continue Reading

Regulation Tomorrow Podcast – Episode 6 out now

Episode 6 of the Regulation Tomorrow Podcast is out now. In the latest edition of our monthly podcast, we take a look at some of the main regulatory news stories from across the globe in the financial services space. We begin with a look at the Woolard Review in the UK with Matthew Gregory, who … Continue Reading

Navigating global crypto-custody requirements

29 April 2021 09:00 – 10:00 BST / 16:00 – 17:00 HKT 16:00 – 17:00 BST / 11:00 – 12:00 EDT As the global crypto-economy continues to grow and mature, one area stands out as a critical core capability: custody. In this webinar, members of our global financial services team will compare notes on their … Continue Reading

Regulation Tomorrow Plus – The FCA’s whistleblowing publications

Another episode of our reactive spin off podcast, Regulation Tomorrow Plus, is available to stream and download. In this episode of Regulation Tomorrow Plus, Jonathan Herbst and Katie Stephen discuss this week’s whistleblowing publications by the FCA and what this might mean for financial services firm. Regulation Tomorrow Plus and the Regulation Tomorrow Podcast are … Continue Reading

Risk assessments and the expectations of global authorities – what this means for businesses

On 18 March 2021, we will be holding the first of our global webinars on putting into practice authorities’ expectations in relation to each of the components of an ABC programme. In this first session we will examine global expectations in relation to risk assessments – the starting point of an effective ABC programme. We … Continue Reading

Webinar | Financial crime: AML and market abuse trends in 2021

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 … Continue Reading

Regulation Tomorrow Podcast Episode 5 – out now

Episode 5 of the Regulation Podcast is out now. In our latest monthly offering, we look at ESG initiatives in Hong Kong with Etelka Bogardi, Albert Weatherill and Hannah Meakin provide an extended fintech update, including a look at the Khalifa Review in the UK; and Mayling Blanco from our New York office discusses recent … Continue Reading

Regulation Tomorrow Plus – The Conduct Healthcheck

The first episode of our new spin-off podcast – Regulation Tomorrow Plus – is out now. Regulation Tomorrow Plus will be released outside of the usual monthly schedule for the Regulation Tomorrow Podcast, and will be reacting to a single issue, piece of news or publication in as timely a manner as possible. These episodes … Continue Reading

Regulation Tomorrow Episode 5 and Regulation Tomorrow Plus – out next week

Next week sees a double dose of podcast releases: Episode 5 of the Regulation Tomorrow podcast will be released early next week, closely followed by the first episode of our new spin-off podcast, Regulation Tomorrow Plus. Regulation Tomorrow Plus is designed to be a shorter, sharper and more reactive podcast, released as and when news … Continue Reading

Financial services 40 minute briefings: The changing shape of the retail sector

The pandemic has created a number of challenges for the retail sector as firms deal with growing operational and financial pressures, whilst many of their customers face difficulties in meeting their commitments. Join us on 3 March at 08.50 – 09.30 GMT for our latest 40 minute briefing as we explore the current state of … Continue Reading

Raising capital in Europe: Key regulatory issues for US asset managers

When looking for new sources of investors and capital US fund managers often look towards Europe, but  the European market is more tightly regulated when compared to the US market. In our forthcoming webinar taking place on  February 25, 2021, Raising capital in Europe: Key regulatory issues for US asset managers, a team of partners … Continue Reading

Financial services 40 minute briefings: The changing shape of the retail sector

The pandemic has created a number of challenges for the retail sector as firms deal with growing operational and financial pressures, whilst many of their customers face difficulties in meeting their commitments. Join us on 3 March at 08.50 – 09.30 GMT for our latest 40 minute briefing as we explore the current state of … Continue Reading

Episode 4 of the Regulation Tomorrow Podcast – out now

The Regulation Tomorrow Podcast is back with Episode 4. Jonathan Herbst gives a quick update on Brexit before examining the short selling restrictions on GameStop in the US from a UK MAR perspective. We’re delighted to be joined by our first special guest, the Payment Systems Regulator’s General Counsel and Head of Enforcement and Competition, … Continue Reading

Episode 4 of the Regulation Tomorrow Podcast – out on Thursday

After a Christmas hiatus, the Regulation Tomorrow Podcast is back with a bumper-sized episode to kick 2021 off with a bang. In episode 4, Jonathan Herbst gives a quick update on Brexit before examining the short selling restrictions on GameStop in the US, from a UK market abuse perspective. We’re delighted to be joined by … Continue Reading

Webinar: A practical guide to navigating the new UK post-Brexit regime

Wednesday, 3 February 2021 | 08:45am – 09:30am GMT On 3 February we will be holding a webinar exploring the architecture of the UK regulatory regime following the end of the transition period, the regulatory rules that apply to firms, and where to find this material. In theory, it should be simple as the UK … Continue Reading

Part II: Navigating the US presidential transition – cross-border business and regulatory perspective

United States | January 26, 2021 | 10:00 am ET | 3:00 pm GMT In the second installment of our post-election webinar series, George E. Pataki, former Governor of New York, and Sam Ramer, former Senior Associate Counsel to President Trump, will consider the latest developments regarding the US presidential election. With one party now … Continue Reading

The Regulation Tomorrow Podcast – back in February 2021

The Regulation Tomorrow Podcast will be back in February 2021 with episode 4. To listen to episode 3, where we discussed Brexit, vulnerable customer initiatives and also gave an enforcement update, please click here. The Regulation Tomorrow Podcast is available to download and subscribe to on Apple Podcasts, iTunes and Soundcloud. We are keen to … Continue Reading

40 minute briefing webinar: 2021 – What’s in store for financial services firms

We are holding our next financial services 40 minute briefing webinar on 6 January from 8:45am to 9:30am. Many financial services firms are focussing on the immediate issues, finalising their Brexit plans and  dealing with the fallout from the COVID­19 pandemic.  However, January is an important time for firms  where they pause and assess what’s coming during the  course of the year. Where some see challenges, others  see opportunity, adaptability and innovation. In our  January 40­minute briefing, members of our  financial services team will  provide their views on  what 2021 will bring to the areas set out below: Buy­side Sell­side Banking Enforcement Please register for the webinar here.… Continue Reading

Regulation Tomorrow Podcast – Episode 3 out now

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 … Continue Reading

Navigating the US presidential transition: Cross-border business and regulatory perspective

On the 10th December we will be holding the first in a two-part webinar series which will see George E. Pataki, former Governor of New York and Sam Ramer, former Senior Associate Counsel to President Trump, discuss the latest developments regarding the US presidential election and what policies we can expect from the new administration … Continue Reading

Regulation Tomorrow Podcast – Episode 3 out next week

Episode 3 of the Regulation Tomorrow Podcast is out next week. Please visit this blog or subscribe on Apple Podcasts or iTunes to make sure you don’t miss out. In this month’s podcast, Jonathan is back with more Brexit updates, Katie Stephen and Sonya Zywko from our disputes team provide an update on the latest … Continue Reading

Webinar – Outsourcing in Germany – the evolving regulatory landscape

On 8 December 2020 at 9:30am to 10:30am (GMT) we are holding a webinar in English that will examine the BaFin’s proposed amendments to the “Minimum Requirements for Risk Management (Mindestanforderungen an das Risikomanagement, MaRisk)”, which, among other things, details outsourcing requirements in Germany. The webinar will also consider a new draft act that the … Continue Reading

Video: Brexit update with Jonathan Herbst

As the Brexit negotiations enter a critical phase, firms and market participants may still be wondering how to plan for the future. In the latest of our financial services videos, Norton Rose Fulbright’s Global Head of Financial Services, Jonathan Herbst, provides an update on the likely impact of Brexit. To view the video, please click … Continue Reading
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