Regulation Tomorrow Podcast

In this episode of RT Plus, and the latest in our series on the UK IFPR, Jonathan Herbst, Hannah Meakin and Jochen Vester discuss the application of the IFPR regime to commodities firms, the relevance of any transitional provisions, the position on concentration risk and also any pitfalls that market players should be aware of.

In this latest episode we speak to Matthew Gregory and Joe Bamford about the Treasury’s consultation paper on the regulation of Buy Now Pay Later (BNPL) products. The consultation, published on Thursday 21 October, follows the Woolard review earlier in the year, which proposed the regulation of BNPL, after a huge increase in the size of the market. In this podcast, Matthew and Joe provide their in...

In this episode we hear from Celia Cohen in New York who discusses privilege, particularly in the context of internal investigations; Joe Smallshaw and Catherine Pluck discuss the Frensham case and how the FCA treats non-financial misconduct; and Lisa Lee Lewis and Nabeelah Begum give an update on how anti-money laundering and counter terrorist finance regimes are dealing with cryptos. 3:17 - Celi...

In the second episode of this mini series, Jonathan Herbst and Anna Carrier discuss the Treasury’s proposals in respect of the equities regime, and the Commission’s proposals and intentions on the same. Jonathan and Anna look at pre trade transparency, consolidated tape and the share trading obligation, discussing the UK and EU's differing approaches and the ramifications of that.

In this latest podcast in our new mini-series focussing on the new UK Investment Firm Prudential Regime (or UK IFPR), brought to you as part of the Regulation Tomorrow podcast, we look at governance requirements, the ICARA process and the new MiFIDPRU Remuneration Code to firms.

In this episode we hear from Norton Rose Fulbright’s US Head of Fintech, Stephen Aschettino, who gives an overview of the payments landscape in the US and some of the prevailing trends in the area. We then hear from John Coley, who discusses the main takeaway points from the FCA’s 2021/22 Business Plan. Finally, we speak to financial crime expert, Lisa Lee Lewis, who provides an update on the coun...

The first episode in a new RT Plus mini-series, Evolution and Divergence: Markets in the EU and UK, is available now to stream and download. This podcast is the first in a series of five podcasts covering the changing nature of markets in Europe and also the degree to which this results in divergence with the UK regime. The series will cover equities, trading venues, systematic internalisers, and...

In this episode Jonathan Herbst and Matthew Gregory discuss policy statement PS19/21 which sets out the PRA's approach to branch and subsidiary supervision.

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 requirem...

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...