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If you want to stay up to date on the latest developments in the world of financial services risk and regulation, the Regulation Tomorrow podcast is for you. Each month, Norton Rose Fulbright's team of lawyers, risk consultants and government relations and public policy strategists will discuss recent news and emerging trends to help you keep track of the evolving and increasingly complex global financial services regulatory environment.
- 141 - Global Regulation Tomorrow Plus: FCA CP24/7 on payment optionality for investment research
In our latest Global Regulation Tomorrow Plus podcast, Partner Jonathan Herbst and Of Counsel Uzmah Yunis share their thoughts on the FCA’s recent consultation paper on payment optionality for investment research. Mark Highman, a financial services partner in New York, also provides a US perspective.
Mon, 29 Apr 2024 - 15min - 140 - Financial services regulation and investment research: Regulation Around the World
In our latest edition of Regulation Around the World, we discuss the latest financial services regulatory developments concerning investment research in the UK and EU. We then consider the US regulatory regime for investment research and key issues for non-US firms.
Tue, 23 Apr 2024 - 33min - 139 - Regulation Tomorrow Plus: The FOS’s motor finance decisions
In the second in our series of Regulation Tomorrow Plus podcasts on the FCA’s intervention in the motor finance sector, we take a detailed look at the Financial Ombudsman Service (FOS)’s decisions upholding specific complaints in relation to historical discretionary commission arrangements. The decisions were one of the catalysts for the action the FCA is taking in the sector, and in this podcast we discuss the arguments presented by the firms to the FOS as well as the decisions reached by the FOS.
Thu, 18 Apr 2024 - 16min - 138 - Regulation Tomorrow Plus: FCA CP23/24 on capital deduction for redress for personal investment firms
In our latest podcast, Partner Matthew Gregory is joined by Senior Associate Joe Bamford, both of whom specialise in retail conduct, to discuss the FCA’s consultation (CP23/24) on changes to the capital requirements for personal investment firms, with particular focus on how firms must calculate their potential redress liabilities for these purposes. The podcast also touches on how these changes may be seen as part of the FCA’s wider proposals and recent regulatory programmes – such as the Consumer Duty. The podcast aims to assist personal investment firms, and key internal stakeholders such as in house legal counsel and compliance officers, in understanding the FCA’s proposed changes under the consultation.
Mon, 15 Apr 2024 - 12min - 137 - Regulation Tomorrow Plus: DE&I series “Inclusivity”
In the fifth podcast in our DE&I series, Simon Lovegrove, Hannah Meakin and Hannah McAslan-Schaaf are joined by Alasdair Scott from GP Strategies to discuss inclusivity, how well contributions, presence, and perspectives of different groups of people are valued and integrated into an environment. Inclusivity has become essential in business today with new joiners looking for a specific working culture, one that fosters respect, humility and caters to the requirements of a diverse workforce. For example, Glassdoor found that 76% of job seekers reported that an inclusive workplace is an important factor when evaluating companies and job offers. Also, inclusivity provides businesses with competitive advantage, in a 2023 McKinsey report it was found that organisations with parity in gender and ethnicity representation in senior roles saw profit levels 39% higher than their peers. The FCA and PRA both see the benefits of inclusivity and in their consultation proposals new measures are included for firms to report on a selection of inclusion metrics so as to provide a baseline of measurable data within financial services firms and across the sector.
Wed, 10 Apr 2024 - 13min - 136 - Global Regulation Tomorrow Plus: EMEA regulatory insights series – Hong Kong
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory issues they are seeing in their local market. In this latest episode Etelka Bogardi from our Hong Kong office discusses recent regulatory developments including derivatives reporting, the e-HKD Pilot Programme and Hong Kong Green Week – Finance Stream.
Mon, 08 Apr 2024 - 13min - 135 - Risk and Resilience: Episode 3: M&A | Fraud
In this episode, we focus on fraud and specifically on key recent developments that banks and other financial sector firms should have on their radar as part of their risk management in this area.
Wed, 03 Apr 2024 - 07min - 134 - Split the difference: European Market Infrastructure Regulation (EMIR)
Our podcast series Split the Difference explores divergence between the EU and UK regulatory regimes in the markets space. In the latest episode, Hannah Meakin, Anna Carrier, Georgia Karamani, Floortje Nagelkerke and Simon Lovegrove explore EMIR 3.0 and how the proposed new rules compare with the UK regime.
Wed, 20 Mar 2024 - 18min - 133 - Decisions Decoded: The latest London Capital & Finance plc decision
In the latest episode of our Decisions Decoded series, we discuss the key points from the Final Notice issued against Floris Huisamen, former director of London Capital & Finance plc (LCF), with the remit for Risk and Compliance. In terms of background to this decision, at the relevant time LCF’s business involved the raising of finance through the issuance of minibonds, which was then loaned to third-party corporate entities. The minibonds were sold predominantly to retail investors. LCF entered administration in January 2019. The firm had, however, already issued over 16,700 bonds, totalling over £237m. The effect of LCF’s collapse on investors was significant. In October 2023, LCF was publicly censured for its unfair and misleading financial promotions of the minibonds. In connection with this, Mr Huisamen has now been fined £31,800 and prohibited from performing any function in relation to any regulated activities.
Thu, 07 Mar 2024 - 14min - 132 - Risk and Resilience: Episode 2: M&A | Correspondent Banking ArrangementsThu, 29 Feb 2024 - 05min
- 131 - Global Regulation Tomorrow Plus: EMEA regulatory insights series – Germany
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory issues they are seeing in their local market. In this latest episode Michael Born from our Frankfurt office discuss recent German regulatory developments including the Financial Market Digitisation Act, the Credit Secondary Market Promotion Act, the Financial Crime Control Act and recent BaFin activity on ESG.
Fri, 16 Feb 2024 - 13min - 130 - Regulation Tomorrow Plus: FCA intervention in the motor finance sector
In this latest Regulation Tomorrow Plus podcast we consider the FCA’s recent intervention in the motor finance sector including the action that firms will need to take.
Thu, 15 Feb 2024 - 15min - 129 - Regulation Tomorrow Plus: Submitting better SARs - A guide for MLROs and in-house teams
In our latest podcast, Senior Knowledge Lawyer Catherine Pluck is joined by Senior Associate Rebecca Dulieu and Associate Lizzie Cox, both of whom specialise in regulatory investigations and enforcement, to discuss reporting obligations under the Proceeds of Crime Act 2002 (POCA), in particular how to draft and submit good quality suspicious activity reports. The podcast aims to assist MLROs, nominated officers and other relevant functions, such as in house legal counsel and compliance officers, to fulfil their obligations under POCA.
Mon, 05 Feb 2024 - 24min - 128 - Regulation Tomorrow Plus: EMEA regulatory insights series – UK
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory issues they are seeing in their local market. In this latest episode Hannah Meakin and Matthew Gregory from our London office discuss recent UK regulatory developments including the UK’s proposed new retail disclosure regime, the advice boundary guidance review, ESG and the recent FCA policy statement setting out temporary changes to the handling rules for motor finance complaints.
Thu, 01 Feb 2024 - 12min - 127 - Risk and Resilience: Transaction risk in banking | Episode 1: No Creditor Worse Off principle
In this episode, we focus on M&A and specifically on the No Creditor Worse Off (or NCWO) principle in the context of Bank M&A in a resolution scenario.
Wed, 31 Jan 2024 - 04min - 126 - Regulation Tomorrow Plus: EMEA regulatory insights series – 2024 horizon scanning – APAC
In this latest episode of our EMEA regulatory insights series colleagues from Australia, Hong Kong, and Singapore provide their thoughts and insights on what 2024 holds from a financial services regulatory perspective.
Wed, 27 Dec 2023 - 30min - 125 - Regulation Tomorrow Plus: EMEA regulatory insights series – 2024 horizon scanning – UAE
In this latest episode of our EMEA regulatory insights series colleagues from Dubai provide their thoughts and insights on what 2024 holds for the UAE from a financial services regulatory perspective.
Wed, 27 Dec 2023 - 12min - 124 - Regulation Tomorrow Plus: EMEA regulatory insights series – 2024 horizon scanning – EU
In this latest episode of our EMEA regulatory insights series colleagues from Brussels, Netherlands, Germany, France and Luxembourg provide their thoughts and insights on what 2024 holds from a financial services regulatory perspective.
Wed, 27 Dec 2023 - 52min - 123 - Regulation Tomorrow Plus – FCA CP23/27 on commodity derivatives regulatory reform
In this episode of Regulation Tomorrow Plus, Jonathan Herbst, Hannah Meakin, Georgia Karamani and Anita Edwards discuss the FCA's recent consultation on reforming the commodity derivatives regulatory framework.
Mon, 18 Dec 2023 - 16min - 122 - Regulation Tomorrow Plus: DE&I series “Data protection”
In the fourth podcast in our DE&I series, Hannah McAslan-Schaaf and Lara White discuss the data protection aspects of the FCA’s recent consultation paper on diversity and inclusion
Thu, 30 Nov 2023 - 18min - 121 - Decisions Decoded: Lessons from enforcement in relation to cyber incidents
Last month the FCA announced that it had fined Equifax Limited £11,164,400 for failing to manage and monitor the security of UK consumer data it had transferred to its parent company based in the US, Equifax Inc, for processing. In our latest podcast in this series, Catherine Pluck discusses with Katie Stephen and Rosie Nance the lessons from this case, and regulatory enforcement concerning IT issues more broadly, for the various phases in a firm’s lifecycle regarding a cyber incident.
Thu, 23 Nov 2023 - 09min - 120 - Regulation Tomorrow Plus: EMEA regulatory insights series – Australia
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on the key regulatory issues they are seeing in their local market. In this third episode James Morris from our Sydney office discuss what they are seeing in the Australian market touching on reforms to payment systems regulation, buy now pay later, ASIC’s Corporate Plan for 2023–2027 and reforms introduced to the Australian Consumer Law.
Wed, 22 Nov 2023 - 16min - 119 - Decisions Decoded: Key takeaways from the latest AML enforcement decision
This podcast is the first in our new series, Decisions Decoded, focussing on decisions and themes in regulatory investigations and enforcement. In this episode, Senior Knowledge Lawyer Catherine Pluck talks to Financial Services Partner Katie Stephen about the recent FCA Final Notice concerning ADM Investor Services International Limited, which has been fined £6,470,600 for inadequate anti-money laundering systems and controls.
Thu, 09 Nov 2023 - 13min - 118 - Regulation Tomorrow Plus: HMT final proposals for UK cryptoasset regulation
On 30 October 2023, HM Treasury (HMT) published its final proposals for the future financial services regulatory regime for cryptoassets in the UK, comprising two responses to consultations and a policy paper. In this latest Regulation Tomorrow Plus podcast (recorded on 2 November), Jonathan Herbst, Hannah Meakin and Anita Edwards discuss HMT’s proposals and the next steps for firms.
Wed, 08 Nov 2023 - 22min - 117 - Regulation Tomorrow Plus: Consumer Duty and ESG
In our latest Regulation Tomorrow Plus podcast Matthew Gregory and Simon Lovegrove discuss the Consumer Duty and ESG.
Fri, 27 Oct 2023 - 10min - 116 - Regulation Tomorrow Plus: EMEA regulatory insights series – UAE
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on the key regulatory issues they are seeing in their local market. In this second episode Matthew Shanahan and Hasanali Pirbhai from our Dubai office discuss what they are seeing in the UAE market touching on enforcement, anti-money laundering, ESG, funds promotion, cryptoassets, and senior manager reporting.
Wed, 25 Oct 2023 - 20min - 115 - Regulation Tomorrow Plus: DE&I series ‘D&I and individual accountability’
In the third podcast in our DE&I series, Simon Lovegrove and Hannah McAslan-Schaaf cover the interplay between the regulatory focus on diversity and inclusion and individual accountability.
Tue, 24 Oct 2023 - 10min - 114 - Regulation Tomorrow Plus: DE&I series ‘What should firms be doing now?’
In the second podcast in our DE&I series, Simon Lovegrove and Hannah McAslan-Schaaf discuss what firms should be doing in light of the FCA and PRA consultation papers on diversity and inclusion.
Fri, 20 Oct 2023 - 12min - 113 - Financial services regulation and ESG: Regulation Around the World
In our latest edition of Regulation Around the World, our financial services lawyers and risk consulting team from the United Kingdom, Singapore, the Netherlands and the UAE discuss the latest financial services regulatory developments concerning ESG.
Tue, 17 Oct 2023 - 44min - 112 - Regulation Tomorrow Plus – DE&I series ‘The regulators recent consultations: the key requirements’
In the first podcast in our DE&I series, Jonathan Herbst, Hannah Meakin and Hannah McAslan-Schaaf provide an overview of the recent FCA and PRA consultation papers on diversity and inclusion.
Tue, 10 Oct 2023 - 13min - 111 - Regulation Tomorrow: Split the difference - Post Brexit landscape and equivalence
In the latest episode of our Split the difference podcast series, which explores divergence and convergence between the EU and UK regulatory regimes in the markets space, Jonathan Herbst, Hannah Meakin, Floortje Nagelkerke and Anna Carrier discuss the UK/EU MoU on regulatory cooperation in financial services, equivalence and the impact on market infrastructure. The episode can be found here.
Thu, 05 Oct 2023 - 24min - 110 - Regulation Tomorrow: The Consumer Duty and our new Pathfinder tool
In our latest Regulation Tomorrow Plus podcast, Matthew Gregory, Joe Bamford and Anita Edwards discuss the Consumer Duty, which is now in force for all on-sale products and services, and our new Pathfinder tool which has been developed to help firms ensure they have fully implemented the Duty.
Thu, 28 Sep 2023 - 10min - 109 - Regulation Tomorrow Plus: FCA policy statement on the new financial promotions gateway (PS23/13)
On 12 September 2023, the FCA published policy statement PS23/13 on the new regulatory gateway for firms that approve financial promotions. In this latest Regulation Tomorrow Plus podcast, Hannah Meakin, Georgia Jones and Anita Edwards discuss the FCA’s plans for implementing and operating the gateway, as well as highlighting some of the areas firms should be thinking about in preparation for the new rules coming into effect.
Mon, 25 Sep 2023 - 12min - 108 - Regulation Tomorrow Plus: EMEA regulatory insights series - Netherlands
In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on the key regulatory issues they are seeing in their local market. In this first episode Floortje Nagelkerke and Nikolai de Koning from our Amsterdam office discuss what they are seeing in the Dutch market touching on the local regulator’s work on ESG, crypto services and DORA. Floortje and Nikolai also discuss supervisory developments concerning proprietary trading firms, the IFD/IFR and the independent functioning of a supervisory board.
Wed, 20 Sep 2023 - 34min - 107 - Regulation Tomorrow Plus: Access to cash
The Financial Services and Markets Act 2023 introduces a requirement for the FCA to exercise new functions for the purpose of “seeking to ensure reasonable provision of cash access services in the United Kingdom, or a part of the United Kingdom”. In this Regulation Tomorrow Plus podcast Matthew Gregory and Simon Lovegrove discuss HM Treasury’s statement of policy on access to cash and the FCA’s statement on its new powers.
Tue, 19 Sep 2023 - 08min - 106 - Regulation Tomorrow Plus: Firms’ obligations to record and retain communications under UK REMIT
In this Regulation Tomorrow Plus podcast, Jonathan Herbst, Hannah Meakin and Anita Edwards discuss the obligations that firms have under UK REMIT to record and retain communications relating to their trading in wholesale energy products, in light of a large fine issued to a firm last month by Ofgem, the energy regulator, for breaches of those obligations.
Tue, 19 Sep 2023 - 09min - 105 - Regulation Tomorrow Plus: FCA portfolio letter to principal trading firms
On 4 August 2023, the FCA published a letter it had sent to the CEOs of firms categorised as ‘principal trading firms’, setting out its strategy for supervising these firms. In this latest Regulation Tomorrow Plus podcast, Jonathan Herbst, Hannah Meakin and Anita Edwards discuss the key points covered in the letter and the next steps for firms.
Thu, 31 Aug 2023 - 10min - 104 - Regulation Tomorrow Plus: Culture – recent developments and practical steps
In our latest Regulation Tomorrow Plus podcast, Senior Knowledge Lawyer Catherine Pluck is joined by London Financial Services partners Jonathan Herbst and Katie Stephen, who discuss some recent regulatory developments in relation to culture, as well as some practical steps that firms can be taking in this area.
Thu, 31 Aug 2023 - 14min - 103 - Split the difference: Consolidated Tape
In the latest episode of our Split the difference podcast series, which explores divergence and convergence between the EU and UK regulatory regimes in the markets space, Jonathan Herbst, Hannah Meakin, Floortje Nagelkerke, Anna Carrier and Catherine Pluck discuss Consolidated Tape in the EU and UK.
Wed, 23 Aug 2023 - 21min - 102 - Split the Difference: Regulatory approach to branches
In the latest in our podcast series, Split the difference, which explores divergence between the EU and UK regulatory regimes in the markets space, Jonathan Herbst, Hannah Meakin and Floortje Nagelkerke explore the regulatory approach to branches
Fri, 28 Jul 2023 - 26min - 101 - Regulation Tomorrow Plus – Mansion House speech: Key takeaways
In our latest Regulation Tomorrow Plus podcast, Global Director of Financial Services Knowledge, Simon Lovegrove is joined by London financial services partners Jonathan Herbst and Hannah Meakin, who share their views on the key takeaways from the Chancellor’s recent Mansion House speech and the government’s response to the UK Investment Research Review.
Mon, 17 Jul 2023 - 14min - 100 - PRA consultation on solvent exit planning for non-systemic banks and building societies (CP10/23)
On 28 June 2023, the Prudential Regulation Authority (PRA) published Consultation Paper 10/23 setting out proposals for non-systemic banks and building societies in the UK to prepare, as part of their business-as-usual activities, for an orderly ‘solvent exit’ and if needed, to be able to execute one. In this latest Regulation Tomorrow Plus podcast, Jonathan Herbst, Matthew Gregory and Anita Edwards discuss the PRA’s proposed new rules and expectations and what firms would need to do to comply.
Fri, 14 Jul 2023 - 11min - 99 - Recovery and resolution: Regulation Around the World
In our latest edition of Regulation Around the World, our financial services lawyers and government relations team from the United States, Brussels and the United Kingdom discuss the latest regulatory developments concerning recovery and resolution.
Fri, 07 Jul 2023 - 23min - 98 - Regulation Tomorrow Plus – FCA Policy Statement on cryptoasset financial promotions
On 7 June 2023, the government published The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2023 which is the statutory instrument which extends the scope of the UK’s financial promotion regime to cover cryptoassets. The day after the statutory instrument was published, the FCA published Policy Statement 23/6 which sets out the near final FCA rules that will apply to such communications together with a guidance consultation. In this latest Regulation Tomorrow Plus podcast, Hannah Meakin, Haris Karacosta and Simon Lovegrove discuss the FCA’s Policy Statement and the four routes to lawfully communicate cryptoasset promotions to UK consumers.
Fri, 16 Jun 2023 - 15min - 97 - Split The Difference: Markets in EU and UK – equity secondary markets
In the latest in our podcast series, split the difference, which explores divergence between the EU and UK regulatory regimes in the markets space, Hannah Meakin, Jonathan Herbst, Floortje Nagelkerke, Anna Carrier and Simon Lovegrove discuss the FCA’s recent Policy Statement on the UK equity secondary markets regime and how the new rules compare with the EU regime.
Thu, 08 Jun 2023 - 20min - 96 - Regulation Tomorrow Plus: ESG insight series
In the second of our financial services ESG insight series, Haney Saadah covers three recent Regulation Tomorrow blogs that caught his eye: the Bank of England report on climate-related risks and the regulatory capital frameworks, the Green Claims Directive and UKSIF’s letter to the Treasury Sub-Committee on Financial Services Regulations.
Thu, 01 Jun 2023 - 08min - 95 - MoU establishing a framework for EU/UK financial services regulatory cooperation
In this podcast Jonathan Herbst, Matthew Gregory and Simon Lovegrove discuss the pros and cons of the Memorandum of Understanding establishing a framework for financial services regulatory cooperation between the EU and the UK.
Thu, 25 May 2023 - 09min - 94 - Regulation Tomorrow Plus: AML - Key themes for firms from recent enforcement
In our latest RT Plus Podcast, Senior Knowledge Lawyer Catherine Pluck is joined by Counsel Joe Smallshaw and Associate Lizzie Cox, both of whom specialise in regulatory investigations and enforcement, to discuss some of the key themes arising from the Financial Conduct Authority’s recent anti-money laundering enforcement decisions.
Mon, 22 May 2023 - 15min - 93 - Regulation Tomorrow: Asset Management series - The role of depositaries
In the third in our series of Regulation Tomorrow podcasts on the future of asset management regulation in the UK, Hannah Meakin, Taher Ahmed and Anita Edwards discuss the role of depositaries in the sector and the FCA's proposals for reform.
Mon, 15 May 2023 - 13min - 92 - Regulation Tomorrow: Asset Management series - The role of host AFMs and appointed representatives
In the second in our series of Regulation Tomorrow podcasts on the future of asset management regulation in the UK, Hannah Meakin, Taher Ahmed and Anita Edwards discuss potential reforms to the way regulatory hosting structures are used in the sector.
Tue, 09 May 2023 - 20min - 91 - Split the difference podcast: Markets in EU and UK – Recent and upcoming changes to EMIR
In the latest in our podcast series, split the difference, which explores divergence between the EU and UK regulatory regimes in the markets space, Floortje Nagelkerke, Hannah Meakin, Anna Carrier, Lucy Axford and Simon Lovegrove discuss the recent and upcoming changes to EMIR. This includes the EMIR 3.0 proposal, the clearing obligation for pension scheme arrangements, bilateral margining requirements, EMIR reporting requirements and tiering non-UK CCPs.
Mon, 24 Apr 2023 - 23min - 90 - Regulation Tomorrow: Asset Management series - Macro-themes from FCA discussion paper DP23/2
In the first in our series of Regulation Tomorrow podcasts focusing on the future of asset management regulation in the UK, Hannah Meakin, Taher Ahmed and Anita Edwards discuss some of the macro-themes arising from the FCA's recent discussion paper, DP23/2, on the future of the UK's asset management regime.
Tue, 18 Apr 2023 - 17min - 89 - Regulation Tomorrow: Edinburgh Reforms – The Government’s plan to revoke the PRIIPs Regulation
In this podcast, Matthew Gregory is joined by Claudia Trauffler (Head of Capital Markets, HM Treasury) who discusses the Government’s plans to revoke the PRIIPs Regulation and UK retain disclosure reform generally.
Thu, 13 Apr 2023 - 19min - 88 - New Regulation Tomorrow podcast – Edinburgh Reforms Series: SMCR
In our latest podcast Simon Lovegrove, Matthew Gregory and Hannah Meakin discuss two important new papers implementing one of the Edinburgh Reforms, which is to conduct a review of the UK’s Senior Managers and Certification Regime.
Tue, 04 Apr 2023 - 13min - 87 - Regulation Tomorrow Plus: ESG insight series – what are we seeing in the market?
In the first of our financial services ESG insight series, Haney Saadah discusses what he is seeing in the market and some of the key ESG pressure points from a regulatory perspective.
Thu, 23 Mar 2023 - 05min - 86 - Beneficial ownership registers: Regulation Around the World
In our latest edition of Regulation Around the World, our financial services lawyers from the United States, Australia and the Netherlands discuss the latest regulatory developments concerning beneficial ownership registers.
Tue, 14 Mar 2023 - 50min - 85 - Split the difference: Markets in EU and UK – Cryptoassets
In the latest in our podcast series, Split the difference, which explores divergence between the EU and UK regulatory regimes in the markets space, Hannah Meakin, Albert Weatherill, Floortje Nagelkerke and Anna Carrier explore some of the markets dimensions of the regulatory reforms involving cryptoassets.
Wed, 08 Mar 2023 - 34min - 84 - Regulation Tomorrow plus podcast – HM Treasury final consultation on the regulation of BNPL products
In this podcast, Matthew Gregory and Simon Lovegrove discuss HM Treasury’s final consultation on the proposed legislative changes to bring currently unregulated buy-now-pay-later products into scope of the UK Consumer Credit Act 1974, and FCA regulation.
Tue, 21 Feb 2023 - 12min - 83 - Regulation Tomorrow: Split the difference: Markets in EU and UK – The trading venue perimeter
In the latest in our podcast series, Split the difference, which explores divergence between the EU and UK regulatory regimes in the markets space, Jonathan Herbst, Hannah Meakin and Anna Carrier discuss ESMA’s recent opinion on the trading venue perimeter and compare it to the FCA’s proposals in CP22/18.
Thu, 09 Feb 2023 - 24min - 82 - RT Plus – HM Treasury consults on the UK’s financial services regime for cryptoassets
On 1 February 2023, HM Treasury issued its latest proposals for the UK’s financial services regime for cryptoassets. It also issued a policy statement on its approach to the regulation of cryptoasset financial promotions. In this podcast Jonathan Herbst is joined by Albert Weatherill and Hannah Meakin who provide their views on the key headlines including scope, authorisation, timing and process.
Wed, 08 Feb 2023 - 10min - 81 - Regulation Tomorrow - The Consumer Duty series: FCA review of firms’ implementation plans
In this episode, Matthew Gregory and Simon Lovegrove discuss the FCA’s findings following its review of larger fixed firms’ Consumer Duty implementation plans. In particular, they consider the good and poor practice that the FCA has highlighted and what steps firms should be taking in the run up to the 31 July deadline.
Fri, 03 Feb 2023 - 11min - 80 - The Edinburgh Reforms: What do they mean for markets?
In our latest podcast on the Edinburgh Reforms, Hannah Meakin discusses what the reforms mean from a markets perspective.
Thu, 26 Jan 2023 - 12min - 79 - Split the difference: Markets in EU and UK – what we should be expecting and hoping to see in 2023
In our new podcast series, Split the difference, which explores divergence between the EU and UK regimes in the markets space, Jonathan Herbst, Hannah Meakin, Anna Carrier and Floortje Nagelkerke provide an overview of what we should be expecting and hoping to see in 2023.
Tue, 17 Jan 2023 - 35min - 78 - Regulation Tomorrow Plus – Cost of living: Economic crime & takeaways for financial services firms
In this episode of RT Plus, Haney Saadah, Head of Risk Consulting for EMEA, and Risk Advisory Executive Fiona Burke discuss some practical considerations for UK financial services firms in light of the increased cost of living, including in relation to economic crime and supporting consumers with higher costs.
Thu, 22 Dec 2022 - 12min - 76 - Regulation Tomorrow Plus – FCA Consults On New Core Investment Advice Regime
In this episode of RT Plus, Matthew Gregory and Simon Lovegrove cover some of the key points in the FCA’s recent consultation for a new core investment advice regime.
Fri, 16 Dec 2022 - 08min - 75 - Regulation Tomorrow Plus - UK 2022 wrap up
In this episode, our London Financial Services & Regulation partners reflect on some of the key UK regulatory themes from the past year and what we expect to come down the track in 2023.
Fri, 16 Dec 2022 - 04min - 74 - Regulation Around The World - Buy Now Pay Later
In our latest edition of Regulation Around the World, our financial services partners from the United Kingdom, United States, and Australia cover the latest regulatory developments concerning buy now pay later
Tue, 13 Dec 2022 - 32min - 73 - Regulation Tomorrow - Global Financial Services Conduct Stream - Cross Border Funds Distribution
In the second in our global series of regulatory podcasts focusing on conduct issues, financial services partners from Australia, Hong Kong, Luxembourg, Germany, United Kingdom and the United States consider the cross border distribution of funds by focussing on the following five topics: 1. What trends or industry developments are you seeing in your jurisdiction as regards the cross-border distribution of funds? 2. What do you see as the top one or two regulatory issues impacting cross-border funds distribution? 3. Can you say a few words regarding marketing rules in your jurisdiction? 4. Are there any ESG considerations that need to be taken into account when marketing funds cross border? 5. What do you think 2023 holds for the cross-border distribution of funds?
Mon, 12 Dec 2022 - 1h 29min - 72 - RT Plus – Edinburgh Reforms: Initial takeaways
On 9 December 2022, HM Treasury announced a series of proposals to amend the existing financial services regulatory framework in the UK, referred to as the “Edinburgh Reforms”. In this episode, Jonathan Herbst and Albert Weatherill provide their initial thoughts on the proposals and key measures expected.
Fri, 09 Dec 2022 - 06min - 70 - Regulation Tomorrow Plus - FS&M Bill sound bytes
In this episode of RT Plus on the Financial Services and Markets Bill, Jonathan Herbst provides a general update on the Bill following its passage through the Committee Stage.
Wed, 23 Nov 2022 - 05min - 69 - Regulation Tomorrow Plus – The importance of terminology and the “S” and “G” parts of ESG
In this episode of RT Plus on ESG, Haney Saadah touches on the FCA’s recent consultation paper on sustainability disclosure requirements. He also looks the importance of terminology and why the “S” and “G” parts of ESG are as important as the “E” part. He also provides his views on how firms will approach their ESG commitments next year.
Wed, 23 Nov 2022 - 11min - 68 - RT Plus: The Consumer Duty Series: Post-Implementation Plan approval: Key issues for firms
In this episode, following the FCA’s interim 31st October deadline, Jonathan Herbst, Matthew Gregory, Joe Bamford and Iain Hawthorn focus on where firm’s should be now, and the key things they need to consider in taking forward their implementation plans for the new Consumer Duty. The discussion includes the steps that firms need to take over the next few months and the challenges that they will face throughout the implementation period.
Thu, 03 Nov 2022 - 13min - 67 - Regulation Around The World - Operational Resilience
In our latest edition of Regulation Around the World, members from our global financial services team consider the latest regulatory developments concerning operational resilience in the UK, EU and US.
Thu, 06 Oct 2022 - 33min - 66 - Global regulation and conduct series- Rising costs of living, vulnerable customers and consumer duty
In the first in our global series of regulatory podcasts focusing on conduct issues, financial services partners from Australia, United Kingdom and the United States cover the rising cost of living, vulnerable customers and consumer duty.
Wed, 21 Sep 2022 - 44min - 65 - RT Plus - Politics Of The Bill
In this episode of RT Plus on the Financial Services and Markets Bill, Jonathan Herbst and Glenn Hall cover the politics behind the Bill
Fri, 02 Sep 2022 - 13min - 64 - RT Plus - The Consumer Duty Series: Implementation planning
In this episode, Jonathan Herbst, Matthew Gregory and Iain Hawthorn focus on the fast-approaching 31st October deadline for firms’ management bodies to have approved the implementation plan for the new Consumer Duty. We discuss how firms can prepare for the challenging deadline and how we can help with our Implementation Toolkit. For more resources on the Consumer Duty, visit: https://www.nortonrosefulbright.com/en/knowledge/publications/b0936dc1/consumer-duty
Fri, 26 Aug 2022 - 12min - 63 - RT Plus – 2022 UK Financial Services and Markets Bill – EU retained law
In the latest episode of our Regulation Tomorrow Plus series covering the Financial Services and Markets Bill, Simon Lovegrove and Emily Stone take a closer look at the provisions on EU retained law.
Thu, 25 Aug 2022 - 11min - 62 - RT Plus – ESG: Key regulatory risks in the UK and US and practical steps to manage them
In our next episode of RT Plus, Katie Stephen, Co-Head of our Contentious Financial Services Group in London, and Celia Cohen, Co-Head of Financial Institutions in the United States, discuss the key regulatory risks for financial services firms in their respective jurisdictions around Environmental, Social and Governance issues. Katie and Celia also give us their practical tips on what firms can be doing now to help manage those risks.
Mon, 22 Aug 2022 - 20min - 61 - RT Plus – 2022 UK Financial Services and Markets Bill – The provisions on financial promotion
In our latest episode of RT Plus, Hannah Meakin and Matthew Gregory take a closer look at the provisions on financial promotion in the UK Government’s Financial Services and Markets Bill.
Tue, 16 Aug 2022 - 12min - 60 - RT Plus – Beyond Sanctions – Key updates
In our sixth episode of our Beyond Sanctions series, David Harris, Co-Head of our Contentious Financial Services Group in London, discusses some recent developments in the sanctions landscape for regulated firms, including key points from: (i) the Red Alert on Financial Sanctions Evasion, published by OFSI and the NCA last month; (ii) The Sanctions (EU Exit)(Miscellaneous Amendments) Regulations 2022 and The Sanctions (EU Exit)(Miscellaneous Amendments)(No. 2) Regulations 2022, which come into force at the end of this month; and (iii) the FCA’s letter to the Treasury Select Committee on economic sanctions, also published last month.
Tue, 09 Aug 2022 - 12min - 59 - RT Plus – 2022 UK Financial Services and Markets Bill – Key highlights
In our latest episode of RT Plus, Jonathan Herbst and Hannah Meakin provide a high-level overview of the UK Government’s Financial Services and Markets Bill which was introduced on the 20 July 2022.
Mon, 08 Aug 2022 - 13min - 58 - RT Plus – 2022 UK Financial Services and Markets Bill – A focus on critical third parties
In our latest episode of RT Plus, we explore the UK Government’s recently announced Financial Services and Markets Bill which was introduced on the 20 July 2022. Jonathan Herbst, Hannah Meakin and Albert Weatherill focus specifically on the provisions relating to critical third parties and the practical implications for firms.
Wed, 03 Aug 2022 - 11min - 57 - RT Plus - The Consumer Duty Series: Key takeaways from the FCA’s policy statement
In the latest episode of our Consumer Duty series, Joe Bamford and Iain Hawthorn unpack the key takeaways from the FCA’s policy statement and finalised non-handbook guidance published on 27 July 2022 and summarise immediate next steps for firms.
Mon, 01 Aug 2022 - 12min - 56 - RT Plus - The Consumer Duty Series: Monitoring and governance requirements
In our third episode of our series focusing on the FCA’s new Consumer Duty, Joe Bamford and Iain Hawthorn discuss the importance of monitoring and testing and some practical considerations for firms ahead of the implementation date.
Tue, 26 Jul 2022 - 08min - 55 - RT Plus - The Consumer Duty Series: The consumer understanding outcome
In our second episode of our series focusing on the FCA’s new Consumer Duty, Matt Gregory is joined by Iain Hawthorn who explore the consumer understanding outcome, what it hopes to achieve and some practical considerations for firms ahead of implementation.
Thu, 21 Jul 2022 - 13min - 54 - Regulation Tomorrow Plus – HM Treasury’s proposals for buy now pay later
HM Treasury has published its response to last November’s consultation on bringing buy now pay later businesses within scope of regulation from the Financial Conduct Authority. In this Regulation Tomorrow Podcast, Matthew Gregory, Of Counsel in the London financial services team of Norton Rose Fulbright, shares his insights into the response including what in-scope firms should be doing now.
Thu, 30 Jun 2022 - 09min - 53 - Regulation Around the World – Anti-money laundering
In our latest edition of Regulation Around the World, our financial services partners from the United Kingdom, United States, Europe and Singapore cover the latest regulatory developments concerning anti-money laundering
Wed, 22 Jun 2022 - 50min - 52 - RT Plus - Beyond Sanctions – Enforcement
In the latest episode of our Beyond Sanctions series, David Harris and Katie Stephen, Co-Heads of our Contentious Financial Services Group in London, discuss some recent developments regarding sanctions enforcement for regulated firms.
Mon, 30 May 2022 - 13min - 51 - RT - Australia financial services monthly wrap up - April
The first instalment in our new series, Australia financial services monthly wrap up, is available now to stream and download. In this episode Jon Ireland, Ray Giblett and Timothy Chan discuss some of the key regulatory developments that occurred in April including the recent APRA life insurance statistics, changes to prudential regulation in relation to the reinsurance pool for cyclone claims and ASIC’s consultation enhancing its investment products offering.
Fri, 20 May 2022 - 11min - 50 - Regulation Around The World - Beyond Sanctions
In our latest edition of Regulation Around the World, our financial services partners from the United Kingdom, United States, Luxembourg and Singapore cover some of the latest regulatory developments arising from the sanctions imposed on Russia.
Tue, 17 May 2022 - 44min - 49 - RT Plus - The Consumer Duty series: Impact on the distribution chain
In the first episode of our series focusing on the FCA’s new Consumer Duty, Matt Gregory is joined by Haney Saadah and Joe Bamford who consider some of the practical issues which firms across the distribution chain will need to resolve in order to achieve the new ‘products and services outcome’.
Thu, 12 May 2022 - 11min - 48 - RT Plus – HMT response on the UK regulatory approach to cryptoassets, stablecoins and DLT
In this episode of RT Plus, Albert Weatherill and Hannah Meakin discuss HM Treasury’s recent response to its earlier consultation and call for evidence on the UK regulatory approach to cryptoassets, stablecoins and distributed ledger technology. In particular, they consider the possible impact that the proposed changes will bring and what is around the corner for cryptoasset regulation in the UK.
Wed, 13 Apr 2022 - 15min - 47 - RT Plus – Beyond Sanctions – Cyber resilience
In this next instalment of our Beyond Sanctions series, Haney Saadah and Steve Hadwin discuss the FCA’s recent announcement concerning cyber security in light of the events in Ukraine and what boards should be thinking about.
Tue, 12 Apr 2022 - 12min - 46 - RT Plus - Evolution and Divergence: Markets in the EU and UK (Trading venues)
This episode of RT Plus is the latest in our Evolution and Divergence series looking at the emerging differences between the EU and UK in the markets space. In this episode, financial services partners Hannah Meakin and Floortje Nagelkerke look at issues around trading venues, including the scope/definition of a trading venue, the operating conditions of OTFs and MTFs, SME growth markets and the role of market players during market outages.
Mon, 28 Mar 2022 - 16min - 45 - RT Plus – Beyond Sanctions – Sanctions and governance insights
In this episode of our Beyond Sanctions series, David Harris and Katie Stephen, Co-Heads of our Contentious Financial Services Group in London, discuss their sanctions and governance insights from recent work, as well as some practical takeaways for firms from these.
Wed, 23 Mar 2022 - 12min - 44 - Regulation Around the World - Horizon scanning
In this month's podcast we take a look at what is coming ahead in a horizon scanning episode. We hear from Steven Howard in the US, who discusses the new regulation around private investment funds; Jon Ireland looks at the new corporate collective investment vehicle regime in Australia; Anna Carrier examines various developments in the EU, including changes to the prudential regime, MIFID and also DORA; and Sebastien Praicheux looks at sustainable finance and crowd funding in France. Simon Lovegrove opens the episode with a look at UK developments. 3:30 - Steve Howard (USA) 15:39 - Jon Ireland (Aus) 23:25 Anna Carrier (EU) 34:10 Sebastien Praicheux (Fra)
Wed, 16 Mar 2022 - 44min - 43 - RT Plus – Beyond Sanctions - Market manipulation
In this next instalment of our Beyond Sanctions series, Katie Stephen and Joe Smallshaw discuss examples of market manipulation, red flags for firms and practical steps firms can be taking now to help detect and prevent market manipulation.
Wed, 16 Mar 2022 - 08min - 42 - RT Plus - Beyond Sanctions - Market conduct and the Economic Crime Bill
In the first instalment of our Beyond Sanctions series, Jonathan Herbst and Haney Saadah consider market conduct issues in light of the developments in Ukraine and the UK’s Economic Crime Bill.
Tue, 08 Mar 2022 - 08min - 41 - RT Plus - CP22/2 Strengthening financial promotion rules for high risk investments
In this episode of RT Plus, Jonathan Herbst and Hannah Meakin discuss the FCA's consultation paper, CP22/2, Strengthening our financial promotion rules for high risk investments, including cryptoassets. This much anticipated paper looks to ameliorate the financial promotions regime to match the growth in consumers investing in high risk assets like cryptos. Jonathan and Hannah look at the current financial promotion regime and what is being proposed, including the three new categories of investment.
Thu, 24 Feb 2022 - 10min - 40 - RT Plus - Crypto Advertising
In this episode of RT Plus, Hannah Meakin and Albert Weatherill from the financial services team meet with Verity Quartermain, a specialist in technology disputes, to discuss the advertising of cryptos. The recent increase in advertising of cryptos and products offering cryptos has lead both the FCA and the Advertising Standards Agency to sit up and take notice. We discuss the implications for market participants
Mon, 21 Feb 2022 - 15min
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