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.
ESG: Key regulatory risks for financial services firms in the UK and US and how to manage them
Environmental, social and governance-related (“ESG”) matters are high on the global agenda with a focus not only on climate change, but also on wider environmental issues, such as biodiversity, and social and governance issues, such as, diversity and inclusion and accountability.
The FCA Business Plan: What does it mean from a governance perspective?
Earlier this year the Financial Conduct Authority (FCA) published its latest Business Plan. The Business Plan itself took a different form when compared to previous incarnations by having a shorter summary of priorities and planned activities and cross referring to other documents including the three-year strategy and the regulatory initiatives grid.
Governance lessons learned: Experience from implementation of Russian sanctions
UK regulated firms seeking to comply with the Russian sanctions have had to grapple with fast moving legislative and regulatory change, and have inevitably encountered governance challenges along the way.
RT Plus - Beyond Sanctions – Enforcement
In this episode of our Beyond Sanctions series, David Harris and Katie Stephen, Co-Heads of our Contentious Financial Services Group in London, discuss some recent developments regarding sanctions enforcement for regulated firms.
Governance: time for spring cleaning?
Organizational clutter can take a number of forms for firms, the most common being redundant or duplicative processes, organizational structures and reporting lines that are no longer fit for purpose and objectives that are no longer relevant.
Diversity and inclusion: the regulators’ proposals so far
Diversity and inclusion (D&I) is now a key concept in UK financial services, with D&I requirements stemming from several different regulatory angles.
Russian sanctions: Governance considerations for regulated firms
Earlier this week we published a blog reporting on the FCA’s statement regarding the new financial sanctions that the UK has imposed on Russia.
Good governance: Lessons from the pandemic and key considerations as lockdown eases
The COVID-19 pandemic has led to many challenges for businesses, including large-scale remote working, staff lay-offs, increased use of online services and more vulnerable customers.
Other governance resources
List of pages
You may also be interested in
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.