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Financial regulation is ever-evolving as it responds to changing markets, practices and technology. This presents a constant challenge to firms in the financial services sector. In the wake of the financial crisis, regulators around the world are embarking on a new drive for accountability and firms are required to devote increasing resources to governance and risk management. At the same time, financial crime and conduct risk issues are generating a raft of enforcement actions and substantial fines from regulators. For new market entrants, regulation is their primary challenge.
Our team of experts is accessible and responsive, with an enviable insight into the FCA and PRA and how their authorisation, supervision and enforcement divisions operate in practice. Combining our legal strength and industry knowledge, we play a key role in assisting our clients to plan for regulatory change. We have breadth and depth of regulatory experience and deliver commercially astute, high-quality and practical advice on contentious and non-contentious matters.
An important and growing aspect of our practice is advising FinTech firms, including in relation to their Regulatory Sandbox proposals and engagement with the regulators.
Momentum is gathering in the call to take a tougher approach to how large businesses tackle modern slavery issues in their supply chains.
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Our discussion starts with Kweku Adoboli recounting his experiences during the 2011 UBS Swiss bank scandal, and moves to the various lessons learned and the potential solutions for minimising the risk of wrongdoing.
With the Conservative Party manifesto now published we consider the proposals put forward by each of the three main parties in England in relation to financial crime and regulation.
The FCA’s Asset Management Market Study: Interim Report was released in November 2016.
The FCA are encouraged to find that the implementation of the new rules has encouraged financial institutions to manage whistleblowing cases and concerns fairly, consistently and in a manner that protects the individual whistleblower.
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The Chancellor, Phillip Hammond, has just delivered his latest budget and with it, a significant change to the way liability for IR35 breaches will be dealt with for private sector companies from April 2020.
The FCA, the UK’s banking regulator, has launched an investigation into the latest banking crisis to affect members of the public, namely TSB customers.
On 5 July 2016, the European Commission published a bold plan to bring virtual currency exchange platforms and custodian wallet providers under the 4th Anti-Money Laundering Directive.
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