NRF Global Regulation Tomorrow Podcast

In the latest episode of our mini-series on the UK Investment Firm Prudential Regime (or UK IFPR) we look at own funds requirements, fixed overheads requirements, and the K-factors for Assets Under Management (K-AUM) and Client Orders Handled (K-OH). If you would like to skip ahead to a particular section, please see the timing information below: •Own fund requirement and fixed overheads requireme...

The first podcast in our new mini-series focusing on the new UK Investment Firm Prudential Regime (or UK IFPR), brought to you as part of the Regulation Tomorrow podcast, provides an introduction to the UK IFPR and its application to different types of firm – CPMIs, commodities firms, exempt CAD firms and the application to clearing members and indirect clearing members. If you would like to skip...

In this episode of RT Plus Jonathan Herbst and Hannah Meakin take a first look at the recent Wholesale Markets Review as published by the Treasury. This podcast takes an initial look at the key issues, paving the way for a more detailed examination of the proposals in a forthcoming podcast.

In this month's podcast we speak to Jonathan Herbst about the future of financial services in the UK and also the HMT Wholesale Markets Review. We are joined by Sam Ramer from our US practice, who explains the impact of the Biden Administration's memo on establishing the fight against corruption. We then discuss changes to Australia's exemptions regime with Jon Ireland from our Sydney office and w...

In this episode of RT Plus we speak to Albert Weatherill about the action taken by the FCA against the crypto trading firm, Binance. Albert looks at the FCA's actions this week and examines what the longer term and broader impacts of this action could be.

In this episode we’re playing a conversation that took place recently between Katie Stephen and Sonya Zywko regarding how to deal with enquiries from the regulator regarding market disclosures, including discussion of how to mitigate the risk of receiving an enquiry and when issues are raised, how best to respond.

In this month's episode we receive an update on Brexit from Jonathan Herbst, as he discusses the future of financial services in the UK with Hannah Meakin. We speak to Imogen Garner, Iona Wright and Daniel Nevzat about product categorisation under the Sustainable Finance Disclosure Regulation (SFDR), and we hear about the EU's new proposals for a digital identity wallet from Flupke van den Bogart...

In this latest RT Plus podcast Simon Lovegrove, Peter Snowdon and Matthew Gregory discuss the FCA’s recent discussion paper setting out proposals to change the financial promotion rules for high-risk investments (FCA DP21/1).

In this episode of RT Plus we hear from Peter Snowdon, Imogen Garner, John Coley and Matthew Gregory as they discuss the recent speech given by FCA Chairman, Charles Randell, on outcomes based regulation.

In this episode of RT Plus, Peter Snowdon and Matthew Gregory speak to Simon Lovegrove about the recent FCA consultation paper, CP21/13, on proposals for a new Consumer Duty in financial services.

In this month's podcast we speak to Celia Cohen in New York about recent enforcement trends in the US, with a focus on whistle-blowing; we hear from Anna Carrier in Brussels who discusses the new European commodities regime and we are delighted to welcome Jeffrey Mushens from the trade body, TISA, who will be discussing MiFID costs and charges with Matthew Gregory and Joe Bamford from our London o...

In this episode of RT Plus, Jonathan Herbst, Imogen Garner, Hannah Meakin and Matthew Gregory discuss the FCA's recent consultation paper, CP21/9, which is proposing changes to UK MIFID's conduct and organisational requirements.

In this episode of RT Plus, we shine a spotlight on product governance. The FCA recently published a review into product governance under MiFiD 2, giving some wide ranging recommendations to authorised fund managers that will also be of relevance to MiFID investment firms more broadly; while at European level, we have seen firms transitioning to interim version 3.1 of the European MiFID template (...

This month we begin with a look at the Woolard Review in the UK with Matthew Gregory, who focusses on the implications for the buy-now-pay-later sector. Kevin Harnisch, a partner in our Washington DC office, gives an update on SEC actions relating to environmental social governance, and we close with a chat with Claudine Salameh from Sydney, who discusses the upcoming regulatory reform storm set t...

In this episode of Regulation Tomorrow Plus, Jonathan Herbst and Katie Stephen discuss this week's whistleblowing publications by the FCA and what this might mean for financial services firm. This podcast was recorded on 25 March 2021.

In this month's show we will be looking at ESG initiatives in Hong Kong with Etelka Bogardi, Albert Weatherill is joined by Hannah Meakin to provide an extended fintech update, including a look at the Khalifa Review; and Mayling Blanco from our New York office gives an update on enforcement actions brought by the Department of Justice in the US.

Welcome to our first episode of Regulation Tomorrow Plus - the spin off podcast from the Regulation Tomorrow Podcast. Regulation Tomorrow Plus is shorter, sharper and more reactive - released as and when news or publications are issued. In this opening episode, John Coley and Iain Hawthorn take us through the NRF Conduct Healthcheck and the related summary report, which is published later this wee...

After a Christmas hiatus, the Regulation Tomorrow Podcast is back with a bumper-sized episode to kick 2021 off with a bang. In episode 4, Jonathan Herbst gives a quick update on Brexit before examining the short selling restrictions on GameStop in the US from a UK market abuse perspective (this begins at 06:38). We’re delighted to be joined by our first special guest, the Payment Systems Regulator...

In this month's episode we kick off with our usual Brexit update with Jonathan Herbst. We then take a global look at vulnerable customer initiatives with John Coley, who is a senior member of our Risk Consultancy practice in London, and with Helen Taylor, who is a partner in our Sydney office. We close this month's show with a discussion of the latest enforcement hot topics, with Katie Stephen and...

The Regulation Tomorrow Podcast is back with the latest updates on financial services risk and regulatory issues. In this episode, we run through the top news stories of the last month, before catching up with Global Head of Financial Services, Jonathan Herbst, for another update on Brexit. We also hear from Caroline Herkströter, partner in our Frankfurt office, who will be discussing the German p...

The end of the Brexit transition period is fast approaching, and much of the future UK-EU relationship is yet to be decided, leaving many in financial services eagerly wondering what will happen next. In the first episode of the Regulation Tomorrow podcast, Jonathan Herbst, Global Head of Financial Services at Norton Rose Fulbright, provides an update on the status of the negotiations and gives hi...