Our Financial Services team invite you to attend our 40 minute briefing on the future of market conduct. We are now in a critical period where the FCA is focussing on how firms have embedded the reforms that were introduced in 2018. For example, the FCA’s CEO, Andrew Bailey, has recently stated that the regulator has been carrying out a multi-firm review into the MiFID II rules on investment research and that formal feedback will…

In our extended briefing this Wednesday, we are joined by David Blunt (Head of Conduct Specialists Department, FCA) who will discuss the purpose of the SM&CR and the importance of preparing for the new regime, ensuing that it is embedded into firms’ DNA as a business as usual process. Breakout sessions will follow involving colleagues from our employment law and compliance teams. For more information on the event, or to register your attendance, please click…

The first phase of the Senior Managers’ and Certification Regime (SM&CR) was introduced for about 900 banks and deposit takers in March 2016. On 9 December 2019, the FCA is extending this regime to over 47,000 other firms. The basic principle of the SM&CR is that of responsibility and accountability, it is the antidote to decision-making by default. Firms will need to make changes to their compliance and HR systems and procedures if they are…

The recording of our latest 40 minute briefing on Brexit and the future of economic partnership for financial services is available for free here. Please note that this recording omits the segment delivered by HM Treasury which was conducted under Chatham House rules.…

On 3 April 2019, we will be holding an extended financial services breakfast briefing on Brexit. Many financial services firms have already executed their Brexit contingency plans and in this briefing partners from the Norton Rose Fulbright LLP financial services team will discuss what they have been seeing in three key sectors: banks, buy-side and sell-side. In addition, we are pleased to be joined by Dashiell Caldwell, Deputy Director of Financial Services at HM Treasury…

The online recording of our webinar ‘Brexit: What’s next’ is now available for viewing here. In this webinar, members of our financial services team discuss recent developments with regards Brexit and their impact on the financial services sector.…

Following a series of crucial votes in the House of Commons this week, the financial services team in London hosted a webinar this morning exploring the impact of these on financial service firms. Listen to the webinar here…