Tag: seminars and webinar UK and EU

Episode 11 of the Regulation Tomorrow Podcast is out now

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

RT Plus Evolution and Divergence Series – Episode 2 on equities is out now

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

Regulation Tomorrow Plus – UK IFPR series: Governance and Remuneration

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

The future of the UK retail investment market: a post-Brexit and COVID-19 outlook

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

Episode 10 of the Regulation Tomorrow Podcast out now

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

RT Plus Podcast – Evolution and Divergence: Markets in the EU and UK – Commodities

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

RT Plus – The PRA’s approach to branch and subsidiary supervision – PS19/21 – out now

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

Regulation Tomorrow Plus – UK IFPR series: Own funds requirements, fixed overheads requirements, and the K-factors for Assets Under Management and Client Orders Handled

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

Regulation Tomorrow Plus – UK IFPR series: An introduction to the UK IFPR and its application to different types of firm

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

The UK TPR is ending – what should EU firms do next?

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

HMT Wholesale Markets Review – RT Plus podcast out now

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 – out now

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

RT Plus – Avoiding common pitfalls around market disclosure

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

Webinar – Financial services academy: Mastering the fundamentals

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 – out now

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

Latest RT Plus podcast now available – FCA DP21/1: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions

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

Webinar | Good governance: lessons from the pandemic and key considerations as lockdown eases

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

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

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

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
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