Conduct

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.

More about financial services

Insights

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.

United Kingdom | Publication | March 06, 2023

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.

United Kingdom | Publication | January 03, 2023

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:

United Kingdom | Articles | December 05, 2022

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.

Global | Articles | September 27, 2022

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.

Global | Publication | June 30, 2022

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.

Australia | Publication | June 16, 2022

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.

Global | Publication | January 25, 2022

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.

Global | Webinar | November 18, 2021

Mobile data and investigations

Remote working has accelerated the merge of work and home data, particularly on mobile phones and instant messaging services such as WhatsApp.

Global | Webinar | April 27, 2021

Sustainable finance regulation hub

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Other useful resources

Global Regulation Tomorrow

Subscribe for updates on financial services regulatory developments, with insights and commentary from across our global network.

Beyond COP28: Our insights

The 28th Conference of the Parties on Climate Change (COP28) took place on November 30 - December 12 in Dubai.

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