Governance

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 can 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. We advise our clients on a wide range of areas, including governance and accountability regimes, regulatory orders, whistleblowing, enforcement, internal investigations, risk systems and controls, and operational resilience, and have extensive experience representing boards and senior management on strategic, complex and sensitive matters.

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

Hot topics

ESG

Resilience

Financial crime

Customer protection

Consumer protection

Universal governance themes

Board and Committee Structures

Roles and responsibilities

Management information

Issue escalation

Debate and challenge

Record keeping

Culture

Whistleblowing

Insights

Regulation Tomorrow Plus: DE&I series “Data protection”

In the fourth podcast in our DE&I series, Hannah McAslan-Schaaf and Lara White discuss the data protection aspects of the FCA’s recent consultation paper on diversity and inclusion

Global | Articles | December 01, 2023

Avoiding, managing and responding to cyber incidents: Lessons from recent enforcement

The Financial Conduct Authority (FCA) announced on 13 October 2023 that it had fined Equifax Limited (Equifax), a credit reference agency and data, analytics and technology business, £11,164,400 for failing to manage and monitor the security of UK consumer data it had transferred to its parent company based in the US, Equifax Inc, for processing.

Global | External | November 02, 2023

The Appointed Representatives Regime: Key messages from the latest FCA data

On 28 September 2023 the FCA released a webpage setting out its analysis of the data and information collected from principal firms in 2021 and 2022 including from firms’ responses to information requests following the implementation of the new Appointed Representatives (AR) regime which came into effect in December 2023.

Global | External | October 12, 2023

FCA review of Sanctions systems and controls

On 6 September 2023, the UK Financial Conduct Authority (the FCA) published the findings of its review of the sanctions systems and controls in place at over 90 financial services firms operating in a range of sectors (the Review).

Global | External | September 15, 2023

Whistleblowing: Latest FCA quarterly data and key practical steps to manage reports

Whistleblowing remains a key tool for the Financial Conduct Authority (FCA) to identify actual or potential harm to consumers, markets, the UK economy and wider society.

Global | External | May 17, 2023

Optimising supply chain management through robust governance and risk management practices

Robust governance and oversight arrangements are critical to the operation of an effective and efficient supply chain, regardless of business sector or geographical footprint.

Global | Publication | March 11, 2021

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Markets

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.

Global | Publication | August 31, 2022

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.

Global | External | June 17, 2021

Conduct

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.

Global | Publication | June 16, 2021

Financial Crime

Our global financial services and regulation practice is structured around its core regulatory strengths – governance, conduct and markets, which includes financial crime.

Global | Publication | February 02, 2021