A new webinar recording involving Norton Rose Fulbright LLP and EEX Group is now available. The webinar is particularly relevant to those in the commodities markets and covers: MiFID II: scope and key provisions MiFID II: authorisation requirement MiFID II: position limits and position reporting Implications for EEX Group customers… Continue Reading
On 18 October 2017, Norton Rose Fulbright LLP is holding a seminar exploring trends in the industry as well as the key legal and regulatory issues that frequently arise in relation to cryptocurrency and ICOs. To learn more and register please lick here … Continue Reading
We are pleased to advise that the recording for our September 2017 MiFID II Academy webinar is now available. To access the recording, please click here… Continue Reading
We are pleased to announce the following new dates for our 40 minute briefing series: 6 September 2017: MiFID II – from implementation project to daily routine 4 October 2017: Senior Managers’ regime: accountable hierarchy in the financial services industry 1 November 2017: Financial crime update 6 December 2017: Wealth management roundup 10 January 2018: … Continue Reading
Our latest Regulatory Compliance Consulting webinar is now available. This webinar covers financial crime and the Fourth Money Laundering Directive. To access the webinar please register here.… Continue Reading
The next MiFID II Academy webinar will be taking place on 18 May 2017 at 11:00am to 11:45am. The webinar will provide an update on algorithmic trading, DEA and third country issues. For further information please see here.… Continue Reading
There are four new dates for our MiFID II Academy webinars: Update on algorithmic trading, DEA and third country issues: 11.00am – 11.45am (GMT), 18 May 2017 Update on commodity derivatives: 11.00am – 11.45am (GMT), 15 June 2017 Update on conduct issues: 11.00am – 11.45am (GMT), 13 July 2017 Update on EU implementation (insight from our teams … Continue Reading
Continued scrutiny by authorities, enforcement actions and complex regulatory developments are at the forefront of the challenges facing all financial services providers today. A robust, sustainable and risk based framework of controls is a pre-requisite for organisations, not only to maintain compliance with regulatory obligations, but to ensure that emerging risks are identified and assessed … Continue Reading
The following MiFID II videos have been published which look at different angles on investor protection: MiFID II – Buy-side topics; MiFID II – Institutional topics; and MiFID II – Sell-side topics.… Continue Reading
The recording of our latest MiFID II Academy webinar, Update on markets issues, is now available. To listen to the recording please register here.… Continue Reading
The recording of our latest MiFID II Academy webinar, Update on conduct issues, is now available. To listen to the recording please register here.… 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
The recording of our latest MiFID II webinar, UK implementation and interpretation, is now available. To listen to the recording please register here… 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
There are four new dates for our MiFID II Academy webinars: UK implementation and interpretation: 11:00am to 11:45am (GMT), 19 January 2017 European update on implementation: 11:00am to 11:45am (GMT), 16 February 2017 Update on conduct issues: 11:00am to 11:45am (GMT), 16 March 2017 Update on markets issues: 11:00am to 11:45am (GMT), 20 April 2017 … Continue Reading
We have published a new financial services video providing a brief regulatory update on the US election result and Brexit. Our video can be found here.… Continue Reading
The webex recording of our latest MiFID II Academy briefing on market structures (MTFs, OTFs and SIs) is now available. To access the recording please click here and complete the registration form.… Continue Reading
Our European financial services team will be hosting a series of seminars in November across our offices in France, Germany, Italy and the Netherlands. More information and booking details for each seminar can be found via the hyper-link on the relevant City below: Paris | November 21, 2016 Amsterdam | November 22, 2016 Milan | … Continue Reading
There are three new dates for our MiFID II Academy webinars: Market structures: 11:00am to 11:45am (GMT), 10 November 2016 Considerations for compliance functions: 11:00am to 11:45am (GMT), 24 November 2016 Implications for energy and commodity market participants: 11:00am to 11:45am (GMT), 8 December 2016. To register attendance please complete and submit the short online … Continue Reading
The webex recording of our latest MiFID II Academy briefing, Spotlight on markets and third country provisions, is now available. To access the recording please click here… Continue Reading
The Whistleblowers’ Champion will be on the front line of compliance in regulated firms. They will have responsibility for ensuring that there is an effective whistleblowing process in place, for reporting to the board on whistleblowing matters and, in some cases, will be required to step-in to ensure that whistleblowers are dealt with in an … Continue Reading
