Financial services academy: Mastering the fundamentals

We are pleased to invite you to our inaugural financial services academy. The academy will take the form of a series of online webinars that are aimed at up-and-coming in-house regulatory lawyers and compliance professionals, as well as anyone in need of a refresher. During the session we will break down some of the complexity of the UK regime to help attendees understand the legal basis on which their institutions operate. 

In the first of our academy series lawyers from our financial services team will guide participants through the basics of our financial services regime, exploring questions that frequently arise from our clients. The team will use real life examples to give attendees a toolkit for approaching the issues in a practical way. They will also provide insights into some of the key issues and tips about what to look out for to avoid things going wrong.

Programme:

08:30 - 09:10

• When do you need to be authorised and by which regulator? 
  • Pick n’ mix: regulated activities, investments and exclusions
  • FCA v PRA

   

• What happens if you’re not authorised or you don’t have the right permissions? 
  • The worst case and the grim reality
  • Some real life war stories

09:10 - 09:20

• Break

 09:20 - 10:00

• What is the MiFID override? 
  • The EU legacy lives on

   

• How do you know whether the UK regime applies? 
  • When might an overseas person be within scope?
  • How does an overseas person stay outside the perimeter?

Please note this event will be hosted via Zoom.