Financial services and regulation: Insights and resources
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.
The future of asset management regulation in the UK – FCA discussion paper DP23/2
On 20 February 2023, the Financial Conduct Authority (FCA) published a discussion paper, DP23/2 (the DP), seeking views on the current UK regime for regulating funds and asset managers and setting out ideas for improving its regulation of the sector.
The new UK BNPL framework key changes and impacts for lenders and merchants
On 14 February 2023, HM Treasury (HMT) released its final consultation and response to its earlier (second) consultation, together with a draft statutory instrument on the proposed legislation that would bring firms offering currently unregulated buy-now-pay-later products (BNPL) or short-term interest-free credit products (STIFC), within the financial services regulatory perimeter.
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.
Global regulation and conduct series - Cross border distribution of funds: five topics to consider
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, United States and Dubai consider the cross border distribution of funds by focussing on the following five topics:
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.
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.
The FCA’s latest consultation on the new Consumer Duty
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.
Sustainable finance regulation hub
Other useful resources
Financial services regulation hub
With insights from our legal, risk and compliance, and government relations experts, this hub will keep you up to date on regulatory change as it happens.
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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.