On 3 July 2019, our financial services team will be holding its next 40 minute briefing, discussing key anti-money laundering (AML) developments. This event will take the form of a webinar; registration and further details can be found here. This briefing will discuss, amongst other things: The changes under the Fifth Anti-Money Laundering Directive High risk … Continue Reading
Our Financial Services team invite you to attend our 40 minute briefing on the future of market conduct. We are now in a critical period where the FCA is focussing on how firms have embedded the reforms that were introduced in 2018. For example, the FCA’s CEO, Andrew Bailey, has recently stated that the regulator … Continue Reading
In our extended briefing this Wednesday, we are joined by David Blunt (Head of Conduct Specialists Department, FCA) who will discuss the purpose of the SM&CR and the importance of preparing for the new regime, ensuing that it is embedded into firms’ DNA as a business as usual process. Breakout sessions will follow involving colleagues … Continue Reading
The first phase of the Senior Managers’ and Certification Regime (SM&CR) was introduced for about 900 banks and deposit takers in March 2016. On 9 December 2019, the FCA is extending this regime to over 47,000 other firms. The basic principle of the SM&CR is that of responsibility and accountability, it is the antidote to … Continue Reading
The recording of our latest 40 minute briefing on Brexit and the future of economic partnership for financial services is available for free here. Please note that this recording omits the segment delivered by HM Treasury which was conducted under Chatham House rules.… Continue Reading
On 3 April 2019, we will be holding an extended financial services breakfast briefing on Brexit. Many financial services firms have already executed their Brexit contingency plans and in this briefing partners from the Norton Rose Fulbright LLP financial services team will discuss what they have been seeing in three key sectors: banks, buy-side and … Continue Reading
The online recording of our webinar ‘Brexit: What’s next’ is now available for viewing here. In this webinar, members of our financial services team discuss recent developments with regards Brexit and their impact on the financial services sector.… Continue Reading
The Norton Rose Fulbright LLP financial services team invite you to their latest webinar. With MPs again rejecting the draft Withdrawal Agreement we are now moving into uncharted territory with a series of crucial votes scheduled to take place in the House of Commons this week. At 10:00am on Friday 15 March, … Continue Reading
With 29 March being only weeks away, the financial services industry is still waiting for a final answer – deal or no deal? Regardless of this, many financial services firms have already executed their Brexit contingency plans and in this briefing partners from the Norton Rose Fulbright LLP financial services team will discuss what they … Continue Reading
Continually increasing payment volumes, the advent of new payment technologies and infrastructure, and continued change in consumer spending habits has seen the payments ecosystem grow exponentially in recent years. This has fuel led a raft of new providers, increased mergers and acquisitions activity, and expanded payments related regulation for the industry to navigate. We invite … Continue Reading
The recording of our March webinar briefing on Brexit is now available. To access the recording, please click here. During the webinar our speakers focused on the following questions: Where are we at politically and how does the political overlay impact on firms practically? What are the possible outcomes (Deal, No Deal, Extension) and what … Continue Reading
As previously advertised, the monthly financial services breakfast briefing on Wednesday 6 March will take the form of a webinar rather than a seminar. The webinar will start at 9:00am and finish at 9:30am. The webinar will focus on Brexit, specifically our speakers will share their thoughts on the following questions: Where are we at … Continue Reading
As the March 29 deadline looms large for the UK’s exit from the EU we are going to slightly deviate from the monthly 40 minute briefing format. The briefing on 6 March will take the form of a 30 minute webinar from 9:00am to 9:30am, in which our financial services partners will discuss what they … Continue Reading
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
