The latest episode of the Regulation Tomorrow Podcast is out now to stream and download. In this episode we hear from Celia Cohen in New York who discusses privilege, particularly in the context of internal investigations; Joe Smallshaw and Catherine Pluck discuss the Frensham case and how the FCA treats non-financial misconduct; and Lisa Lee … 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
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
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 … Continue Reading
If you want to stay up to date on the latest developments in the world of risk and regulation, the Regulation Tomorrow podcast is for you. Each month, our team of lawyers, risk consultants and government relations and public policy strategists will discuss recent news and emerging trends to help you keep track of the … 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
As demand for environmental, social and governance (ESG) investments increases, we consider what is driving demand, and the implications for asset managers, including changes to their duties and disclosure obligations. This webinar focuses on developments in the EU, with a particular focus on the UK, the Netherlands and Germany. The webinar can be found on … Continue Reading
The recordings from our global asset management regulation webinar series are now available to watch on demand. In this series, our financial services team explored the key issues and requirements firms should be considering when looking to launch an overseas fund in Europe, Asia Pacific, the United States and Canada. Watch now: The AIFMD re-examined … Continue Reading
Our 40 minute briefing on 8 January 2020 will be a webinar and will focus on what 2020 has in store for financial services firms. Further information on the webinar can be found here.… Continue Reading
The recording of our latest 40 minute briefing webinar, Back to basics: AML, is now available. This briefing discusses, amongst other things: The changes under the Fifth Anti-Money Laundering Directive; High risk customers including politically exposed persons; and Key themes arising from FCA anti-money laundering enforcement action. The recording is here.… Continue Reading
We are pleased to announce that our Financial Institutions (FI) team will hold a Brexit seminar in February 2019 in Paris. The objective of the seminar is to create awareness of the impact on the European financial institutions industry doing business in the UK after Brexit. Our Paris and London FI experts will give an overview … Continue Reading
The webex recording from the first part of our recent 40 minute briefing on MiFID II (what we are seeing in the market and what is still to come) is now available. Access the recording… Continue Reading
Brexit will likely have an impact on the regulatory and business environment of asset management companies and investment funds located in the UK, in particular in relation to cross-border business. The objective of the workshop, primarily for UK firms considering relocating to Germany, is to inform them about BaFin’s (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) administration … Continue Reading
On April 27, 2017 our next financial services and products breakfast briefing will take place in Frankfurt. Manuel Adamini, Director of Investor Outreach & Partners Programme, Climate Bonds Initiative and Rüdiger Litten will hold a presentation on the topic “Green Bonds”. The presentation will especially focus on the question: What makes a green bond green? The invitation … Continue Reading
On February 23, 2017 our next financial services and products breakfast briefing will take place in Frankfurt. Rüdiger Litten will hold a presentation on the topic “Derivatives Regulation – Updater”. The presentation will highlight recent developments such as EMIR – risk mitigation methods Interplay of CRR-EK-requirements and Central Clearing Implementation of central derivative aspects of MiFID … Continue Reading
On January 26, 2017 our next financial services and products breakfast briefing will take place in Frankfurt. Katrin Scheicht will hold a presentation on the revised version of the Remuneration Ordinance for Institutions (Institutsvergütungsverordnung – InstitutsVergV). The presentation will outline the significant changes to the InstitutsVergV; specifically explaining the difference between fixed and variable remuneration (i.e. … Continue Reading
On October 27, 2016 our financial services and products team in Frankfurt will be holding its latest breakfast seminar, which will explore BaFin’s intended prohibition of the marketing, distribution and sale of credit-linked notes (Bonitätsanleihen) to retail clients as well as its ongoing investigations of CfDs and binary options. The invitation to the seminar and … Continue Reading
We have now published the invitation for the next series of 40-minute briefings for the period June 2016 to October 2016. Our 40 minute briefings look at some of the current hot topics in the financial services sector and stick strictly to a 40-minute format so you only need to take a small amount of … Continue Reading
Our next 40 minute briefing will take place on 2 March 2016 and will examine the FCA’s competition powers and what they mean for financial services firms. For more information and to register please click here For those who were unable to attend the February 2016 briefing, MAR – the countdown to July 3, 2016, … Continue Reading
We are pleased to advise that the recording of our MiFID II Academy webinar covering Systematic internalisers is now available. To access the webinar recording please click on the link below to register. Once you have registered a new page will appear on the screen and click “Launch presentation”. View MiFID II Academy webinar: Systematic … Continue Reading
Recordings of previous MiFID II webinars can be found here. Previous recordings cover: Conduct issues for investment managers and advisers MiFID and commodities definitions and exemptions Inducements and related issues Impact on third countries Best execution and related issues Algorithmic trading and direct electronic access Conflicts of interest MTFs and OTFs Product governance and intervention … Continue Reading
Join us on March 24, 2015, from 3:15 pm-6:00 pm, for our joint seminar with Markit examining regulation affecting benchmarks, with a focus on the impact of the IOSCO principles in the US. Program highlights include: A session with CFTC Commissioner Mark P. Wetjen A discussion of the status of CFTC implementation of the Dodd-Frank … Continue Reading
On 15 October 2014, the Norton Rose Fulbright LLP financial services team in London will be holding its MiFID II / MiFIR seminar. This will be the first in a series of seminars that we will be holding which will look at MiFID II / MiFIR and the implementing measures as they are developed by … Continue Reading
