On 1 July we will be releasing the July edition of the 40 minute briefing. The webinar will cover issues relating to operational resilience, with views from lawyers and consultants on the following: The operational resilience process – mapping, impact tolerances and testing Outsourcing and third party supply What we are seeing in the market … Continue Reading
Tuesday 14 July | 08:30H BST We invite you to join our interactive webinar during which we will discuss recent LIBOR transition updates from a loans, derivatives and regulatory perspective as well as talk about some of the key risks and challenges from a disputes viewpoint. With some banks well underway with the due diligence … Continue Reading
Financial institutions have to deal with two challenges in the face of the COVID-19 pandemic. The first challenge is financial – how to address and mitigate the sharp drop in the value of financial assets or loss of liquidity. The second challenge is operational – how to address the risk of failure of resources (people, … 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
We live in an era in which regulators and the court of public opinion are often unforgiving of any perceived or actual failings. The implementation of the Senior Managers and Certification Regime (SMCR) for FCA firms has brought this home but it is part of a much bigger picture. We have seen an increasing focus … Continue Reading
The recording of our March 40 minute briefing webinar is now available here. The webinar covers: Open finance: Our thoughts on the FCA’s call for input Vulnerable customers: What you need to know in a nutshell Conducting retail business: Common pitfalls that wholesale firms may find themselves in Conduct risk in the retail space… 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
We are pleased to announce the following new dates for our 40 minute briefing series: 7 February 2018: SMCR: the era of increased individual accountability 7 March 2018: Extended briefing – MiFID II: post implementation review 11 April 2018: The prudential academy 2 May 2018: FinTech: revolution in the financial services sector To find out … Continue Reading
We are pleased to advise that the recording for our December 2017 MiFID II Academy webinar is now available. To access the recording, please click here.… Continue Reading
On 7 November 2017, Conor Foley, Global Head of Government Relations and Public Policy at Norton Rose Fulbright, will deliver the key note addressed at the 6th Annual EU Financial Regulation Conference that is taking place in Brussels. To access the details the conference, please click here. … Continue Reading
The webex recording of our recent 40 minute briefing on the financial crime update is now available. To access to recording link please click here.… Continue Reading
The recording of our webinar Cryptocurrency and ICOs: What does the future hold? is now available. To view the webinar please register here.… Continue Reading
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
