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.
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.
SEC ESG Subcommittee panel debates framework for mandatory disclosures
The US SEC's ESG Subcommittee convened a panel to discuss the Commission's efforts to develop a framework for mandatory ESG disclosures.
Greenwashing: International initiatives taken to address the issue, coming to Australia?
Australia has long-standing requirements that deal with how investments can be offered when they follow environmentally friendly, sustainable or ethical strategies.
Sustainable finance regulation hub
Regulation Tomorrow blog
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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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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 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.