John Davison

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Our governance and conduct video series sees our Regulatory Compliance Consulting team explore some of the key areas firms must consider to ensure effective and efficient governance and control frameworks. In the latest video, Christian Blackwell and Tunde Fasoyiro discuss the ways that firms can measure effective conduct. You can watch the video here. We will be publishing videos on a regular basis, so please keep an eye on our video page. For more information…
The latest video in our risk and compliance series, which sees our Regulatory Compliance Consulting team explore some of the key issues facing risk and compliance functions today, is now available to watch online. In the video, which can be watched here, Christian Blackwell and Alina Rotari explore the ways that firms can prepare more effectively for a regulatory visit or a review. Videos are published on a monthly basis, so please keep an…
Our Regulatory Compliance Consulting team is pleased to announce new dates in its webinar series, which explores the challenges facing risk and compliance functions and the  practical considerations firms should be taking in order to drive and embed an effective and sustainable control environment. January 17 – Risk and compliance framework for asset managers – SMCR and beyond: The Senior Managers and Certification Regime (SMCR) will come into force in December 2019 and asset managers…
On 15 November 2018, Norton Rose Fulbright co-sponsored the 1LoD Summit at The Dorchester hotel in London. The conference brought together over 250 senior members of the financial services community, with panels focussed on key areas such as governance, controls testing, surveillance and culture. A lot of time was spent discussing opportunities for improving the efficiency and effectiveness of controls across the three lines of defence. John Davison, Head of Regulatory Compliance Consulting at Norton…
Our new governance and conduct video series will see our Regulatory Compliance Consulting team explore some of the key areas firms must consider to ensure effective and efficient governance and control frameworks. In the first video, John Davison, Head of Regulatory Compliance Consulting, and Alina Rotari, Compliance Executive, give their views on the 5 key steps to operationalising effective governance. You can watch the video here. We will be publishing videos on a regular basis,…
Continued scrutiny by authorities, growing focus on conduct, culture and personal accountability and complex regulatory and industry developments are at the forefront of challenges facing compliance and risk functions today. Join members of our Regulatory Compliance Consulting practice as they look at some of these challenges in more detail and explore the practical considerations firms should be taking in order to drive and embed an effective and sustainable control environment. For more information about our…
Norton Rose Fulbright is pleased to be sponsoring the 1LoD Summit in London on November 15. The 1LoD Summit is the largest event in the world dedicated to the front office risk and control function within the business. Topics on the agenda will include Supervision, Control Assurance, Conduct Risk, Surveillance, Rogue Trading and  more. The Summit is designed for those working in risk and control functions in the front office and individuals working in the 2nd and 3rd lines of…
The Wolfsberg Group (the Group) has published updated guidance as to how financial institutions should handle the money laundering risks posed by politically exposed persons (PEPs). This updates the guidance that the Group initially issued in 2003 and the FAQs issued in 2008. The updated guidance lays out what the Wolfsberg Group considers to be the most effective way of managing PEP risk, which is to position the PEP control framework as part of the…