Norton Rose Fulbright is hosting an upcoming webinar by Global Investigations Review which features Washington DC partner, Sam Ramer, and Alessio Evangelista and Whitney Case from the Financial Crimes Enforcement Network (FinCEN). Sam, Alessio and Whitney will be discussing FinCEN’s new capabilities and the current leadership of the agency and its priorities. Among the subjects … Continue Reading
Our latest 20 minute webinar will be taking place on 4 May at 9:00am and will explore the FCA’s Business Plan and future strategy. In particular, we will discuss the FCA’s newly-defined approach to: Reducing and preventing serious harm Setting and testing higher standards Promoting competition and positive change To attend this webinar, please click … Continue Reading
As a result of recent events in Ukraine, and the economic sanctions imposed on Russia, there are a number of potential issues facing financial institutions. Firms have, understandably, concentrated on the immediate sanctions issues facing their organisations but will increasingly need to focus on the broader governance and compliance issues and plan accordingly, with their … Continue Reading
In the first instalment of our ‘Beyond Sanctions’, Jonathan Herbst and Haney Saadah consider market conduct issues in light of the developments in Ukraine and the UK’s Economic Crime Bill. The podcast is available to stream and download from the Norton Rose Fulbright website, Apple Podcasts and Spotify.… Continue Reading
A new episode of RT Plus is available to stream and download. In this episode, Jonathan Herbst and Hannah Meakin discuss the FCA’s recent consultation paper, CP22/2 – Strengthening our financial promotion rules for high risk investments, including cryptoassets. CP22/2 has been long anticipated, having been trailed by a discussion paper on the same topic … Continue Reading
The recording from our recent webinar ‘Financial Services in Focus: the new Consumer Duty series’ is now available and can be accessed here.… Continue Reading
Another episode of RT Plus is out now to stream and download. In this episode we are delighted to be joined by UK Finance’s Director of Strategy and Policy, Matthew Conway, for a lively discussion on the Treasury’s latest consultation paper on the Future Regulatory Framework Review. In this episode, Jonathan Herbst and Matthew Gregory … Continue Reading
3 More London Riverside SE1 2AQ 08 December 2021 | 08:50 – 09:30 GMT There have been many macro-economic factors driving enhanced deal volumes in the last few years, from Brexit to pandemic-related realignments. Transactions involving regulated entities present unique challenges to principles, as well as their lawyers and other advisors throughout the transaction timeline. … Continue Reading
The latest episode of the RT Plus podcast series on Evolution and Divergence – Markets in the EU and UK, is out now. In this third episode we look at potential changes to the bonds and derivatives regime in both the UK and Europe. With the Wholesale Markets Review currently underway in the UK and … Continue Reading
3 More London Riverside SE1 2AQ 08 December 2021 | 08:50 – 09:30 GMT There have been many macro-economic factors driving enhanced deal volumes in the last few years, from Brexit to pandemic-related realignments. Transactions involving regulated entities present unique challenges to principles, as well as their lawyers and other advisors throughout the transaction timeline. … Continue Reading
A new episode of RT Plus is available now to stream and download. This episode features Celia Cohen and Samuel Ramer, both of whom are partners in NRF’s US practice. This podcast will be of particular interest to US based firms but also to non-US firms that have some dealings with the US. In this … Continue Reading
We invite you to join our webinar on 18 November 2021 in which our global financial services team will discuss and examine recent ESG related developments across key jurisdictions and provide their views on what’s on the horizon. The webinar will be held on the following times during 18 November 2021: 14:00 SGT and HKT … Continue Reading
We invite you to join our webinar on 18 November 2021 in which our global financial services team will discuss and examine recent ESG related developments across key jurisdictions and provide their views on what’s on the horizon. The webinar will be held on the following times during 18 November 2021: 14:00 SGT and HKT … Continue Reading
3 November 2021 | 08:50 AM – 9:30 AM GMT FinTech is arguably the most innovative area within financial services. The nexus between technology and finance has opened new markets, created entirely new types of product and in doing so, presented unique and previously unforeseen challenges to financial regulators. From the growth of payment services … Continue Reading
A new episode of RT Plus is out now. In this latest episode we speak to Matthew Gregory and Joe Bamford about the Treasury’s consultation paper on the regulation of Buy Now Pay Later (BNPL) products. The consultation, published on Thursday 21 October, follows the Woolard review earlier in the year, which proposed the regulation … Continue Reading
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
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
