39 Results
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people
Vidhi Mahajan, Senior Associate, London
Vidhi regularly advises clients on the regulatory requirements applicable to solo and dual regulated firms, and has significant experience in preparing…
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people
Nathan Willmott, Partner, London
Nathan specialises in representing financial institutions, listed companies, trade associations, regulatory bodies and individual members of senior management…
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financial regulation
09 Dec 2021 The biggest change to "retail" regulation yet? The Consumer Duty lands!
(c) Impact on the SMCR The FCA is proposing to amend its SMCR Code of Conduct sourcebook (COCON), by adding a new rule requiring all conduct rules staff…
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LEGAL
Financial Regulation
Our experience ranges from regulatory change initiatives such as SMCR and MiFID to major disputes such as LIBOR and FX We advise a wide variety of clients in…
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people
Jamie Jefferson Ng, Senior Associate, London
Jamie is a senior associate in the financial regulation practice. He advises a wide range of financial institutions on all areas of regulatory compliance,…
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financial services speedread
27 Oct 2021 Financial Services SpeedRead: 27 October edition
SMCR: The FCA have suggested that the SMCR should be extended to include payment and e-money firms 12 HM Treasury: Policy paper on…
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financial services speedread
30 Sep 2021 Financial Services SpeedRead: 30 September 2021
Welcome to the latest edition of the Financial Services SpeedRead, a collection of bite-sized updates designed to help you keep on top of key regulatory…
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Financial Services Update
16 Sep 2021 AML Framework Controls - common failures observed by the FCA, SEC and FINRA
The FCA noted common gaps in key areas of firm's financial crime systems and control frameworks, namely: governance and oversight, risk assessments, due…
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FINANCIAL REGULATION
28 Jul 2021 Another jigsaw piece: FCA Policy Statement - Implementation of Investment Firms Prudential Regime Policy Statement (PS21/9)
In response to queries about classifications under the SMCR (in particular, the Enhanced Firm designation), the FCA states that it is no longer using the term…
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financial services update
14 Jul 2021 Diversity and inclusion in financial services; the regulators take first step to codify firms' obligations
Top 5 actions for firmsIf recent events are anything to go by, the need for focus on diversity and inclusion within society has never been starker. So it…
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Regulatory Finance Update
09 Jun 2021 Calibration of conduct: how best to deal with a Conduct Rule Breach
A key component of the SMCR is the Conduct Rules, which replaced the Principles for Approved Persons and were expanded in scope of application so that, under…
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people
Lorraine Johnston, Partner, London
Lorraine is a partner in our global finance regulatory practice. Lorraine works with institutions across the financial sector, including banks, asset managers…
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financial regulation
22 Apr 2021 Operational resilience: Key Points for Firms
Who does the operational resilience regime apply to? The regime applies to most banks, investment firms, exchanges, insurers and payment service/electronic…
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financial regulation insight
19 Apr 2021 SMCR and COVID: Regulatory expectations and a "reverse holiday" rule? Just a thought.
SMCR and COVID: Regulatory expectations and a "reverse holiday rule"? Just a thought.
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regulatory finance update
01 Apr 2021 PRA provides much needed guidance on outsourcing and third party service arrangements
Specifically, in the SS the PRA confirms its expectations in respect of the following: board engagement on outsourcing; allocation of…
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UK Employment Update
18 Feb 2021 Save the date - UK employment law changes and key dates
What's on the horizon? Helping to make sure you don't miss the upcoming changes to employment laws and key dates.
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financial regulation
03 Feb 2021 Financial Services SpeedRead : 3 February 2021
PRA policy statement on updates to SMCR forms Retail Investments 20 High Court considers…
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financial regulation
19 Jan 2021 Financial Services SpeedRead: 19 January 2021
FCA updates SMCR and Financial Services Register webpages FinTech 26 HM Treasury…
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Brexit Industry Guide
12 Jan 2021 Financial Services Industry Guide
Navigating the impact of Brexit – a quick guide on post-Brexit and the Trade and Cooperation Agreement for the financial services industry.
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financial reguLation
17 Dec 2020 PRA publishes its evaluation of the SM & CR regime
The PRA found that the regime has generally been successful in improving conduct and accountability in the sector, and initial concerns about SMCR creating…
