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
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
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
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
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
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
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
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
On 1 September 2021 from 8:50am to 9:50am (UK time) we will be holding a webinar ‘The UK TPR is ending – what should EU firms do next?’ The UK provided a broad temporary permissions regime (TPR) which made it easy for EU investment firms to do business into the UK post Brexit. This regime … Continue Reading
An episode of the RT Plus Podcast on the Treasury’s Wholesale Markets Review is out now to stream and download. In this episode, Jonathan Herbst and Hannah Meakin take a first look at some of the headline points to emerge from this paper, including proposals around the STO, the need to trade on a trading … Continue Reading
Episode 9 of the Regulation Tomorrow Podcast is available to stream and download on your usual podcast platform. In this month’s podcast we speak to Jonathan Herbst about the future of financial services in the UK and also the HMT Wholesale Markets Review. We are joined by Sam Ramer from our US practice, who explains … Continue Reading
A new episode of the RT Plus podcast is out now for you stream and download. In this episode, we speak to Albert Weatherill about the action taken by the FCA this week against crypto trading platform, Binance. The action was much spoken about in the press and in this episode of RT Plus, Albert … Continue Reading
A new episode of RT Plus is out now and available to stream and download. In this episode we’re playing a conversation that took place recently between Katie Stephen and Sonya Zywko regarding how to deal with enquiries from the regulator regarding market disclosures, including discussion of how to mitigate the risk of receiving an … Continue Reading
Date: 7 July 2021 Time: 08:30am – 10:00am GMT We are pleased to invite you to our inaugural financial services academy. The academy will take the form of a series of online webinars that are aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. During the … Continue Reading
Episode 8 of the Regulation Tomorrow Podcast is available now to stream and download on your usual podcast platform. In this month’s episode we receive an update on Brexit from Jonathan Herbst, as he discusses the future of financial services in the UK with Hannah Meakin. We speak to Imogen Garner, Iona Wright and Daniel … Continue Reading
On 9 June we hosted the latest in our monthly briefing series, which focussed on good governance in a pandemic and post pandemic context. Within this, the session covered the following topics: Senior Managers and Certification Regime: How this has evolved through the pandemic FCA key areas of focus Governance hot topics Culture, diversity and … Continue Reading
In this latest RT Plus podcast Simon Lovegrove, Peter Snowdon and Matthew Gregory discuss the FCA’s recent discussion paper setting out proposals to change the financial promotion rules for high-risk investments (FCA DP21/1). The podcast provides further practitioner insight into our initial blog on DP21/1, as well as touching on our previous blog on FCA … Continue Reading
Another episode of RT Plus is out now to download and stream. In this episode we hear from Peter Snowdon, Imogen Garner, John Coley and Matthew Gregory as they discuss the recent speech given by FCA Chairman, Charles Randell, on outcomes based regulation. RT Plus and the monthly podcast, the Regulation Tomorrow Podcast, are available … Continue Reading
A new episode of RT Plus is out now to stream and download. In this latest episode, Peter Snowdon and Matthew Gregory speak to Simon Lovegrove about the new Consumer Duty in financial services that the FCA has proposed in CP21/13. To listen to this episode of RT Plus, please click here. In order to … Continue Reading
Date: 9th June 2021 Time: 08:50am – 09:30am GMT The COVID-19 pandemic has led to many challenges for businesses, including large-scale remote working, staff lay-offs, increased use of online services and more vulnerable customers. In light of this, good governance has never been more important with company boards under close scrutiny from all stakeholders including … Continue Reading
Episode 7 of the Regulation Tomorrow podcast is now available to listen to and download. In this month’s podcast we speak to Celia Cohen in New York about recent enforcement trends in the US, with a focus on whistle-blowing; we hear from Anna Carrier in Brussels who discusses the new European commodities regime and we … Continue Reading
Remote working has accelerated the merger of work and private data, particularly on mobile phones and instant messaging services such as WhatsApp. While employees are performing their jobs, mobile access may be putting their employers at risk – because work-related communications on unapproved platforms are frequently not preserved in accordance with regulatory requirements (where applicable), … Continue Reading
The latest episode of RT Plus is out now. In this episode, Jonathan Herbst, Imogen Garner, Hannah Meakin and Matthew Gregory discuss the FCA’s recent consultation paper, CP21/9, which is proposing changes to UK MIFID’s conduct and organisational requirements. RT Plus is available to download and subscribe to on Apple Podcasts, iTunes, Spotify and Soundcloud. … Continue Reading
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
