Our global financial services and regulation practice is structured around its core regulatory strengths – governance, conduct and markets.
We have a proven track record of advising a broad range of clients on complex and sensitive matters in the conduct space, both on the advisory and contentious side, many of which carry significant reputational risk. We represent both firms and individuals subject to regulatory investigation in relation to conduct matters. We regularly assist firms with their conduct risk frameworks, investor and consumer protection obligations, distribution and misselling risk, ESG issues, culture, and board and workforce diversity and inclusion.
This resource hub has been designed to help you manage and respond to this evolving area, with a range of updates, training, videos and other insights from our team of lawyers and risk consultants.
Global regulation and conduct series - Rising cost 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.
The FCA’s new Consumer Duty: Is your firm ready?
The FCA's proposals for a new Consumer Duty amount to a major package of reform with far-reaching consequences across the financial services sector.
Evolving ESG disclosure regulations: Implication for advisors and funds in the energy industry
Proposed new SEC proposed rules require investment advisors and funds to include climate-related disclosures.
Buy now, pay later, regulate soon
The buy now pay later sector, arguably assisted by Australia’s innovative and evolving payments system, has been growing rapidly over the past few years with further big names joining the BNPL race – Apple being the latest large entrant.
US SEC settlement demonstrates the risks to investment advisers of using ESG investment decision-making metrics
On May 23, 2022, the SEC charged BNY Mellon Investment Adviser, Inc. for material misstatements and omissions about a sub-adviser’s ESG quality reviews.
The FCA’s latest consultation on the new Consumer Duty: What does it mean for firms?
CP21/36 follows Consultation Paper 21/13: A new Consumer Duty (“CP21/13”) which the FCA published in May . In CP21/13 the FCA set out a package of proposals for a proposed new ‘Consumer Duty’ that the FCA expects will drive a change in culture in firms.
ESG regulation: Global themes and what's on the horizon
Environmental, social and governance (ESG) is a key area of importance for businesses globally as the legal and regulatory landscape changes and expectations of investors, customers, employees and other stakeholders grow.
Mobile data and investigations: Expectations of authorities, challenges and practical tips
Remote working has accelerated the merge of work and home data, particularly on mobile phones and instant messaging services such as WhatsApp.
Sustainable finance regulation hub
Other useful resources
Regulation Tomorrow blog
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We advise both regulated and non-regulated firms on a range of matters relating to market structure and integrity, including responding to changing requirements, organising business structures to comply and maximise opportunities globally, and dealing with potential issues.
Financial services and regulation
Our global financial services and regulation practice helps our clients navigate the evolving and increasingly complex regulatory environment, working seamlessly across major business and financial hubs.
We draw on our diverse experience and clear understanding of the laws and regulations that shape the operating environment to help a broad range of clients navigate the ever-changing governance landscape.