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
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
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
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
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
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
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
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
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
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
