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.

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Insights

SEC ESG Subcommittee panel debates framework for mandatory disclosures

US SEC ESG Subcommittee 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.

United States | Publikation | März 24, 2021

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.

Global | Publikation | März 22, 2021

NRF Outsourcing Toolkit

Over recent years, financial institutions have been increasingly interested in outsourcing business activities in order to reduce costs and improve efficiency.

Global | Publikation | März 16, 2021

Financial services 40 minute briefing: The changing shape of the retail sector

Join us as we take a look at the current state of play in the retail sector and how this is rapidly evolving over the course of 2021.

United Kingdom | Webinar | März 03, 2021

ESG Update

Mit leichter Verspätung veröffentlichte der Gemeinsame Ausschuss der Europäischen Aufsichtsbehörden (ESAs; bestehend aus ESMA, EIOPA und EBA) am 4. Februar 2021 ihren finalen Bericht zum delegierten Rechtsakt der Offenlegungsverordnung.

Global | Publikation | Februar 08, 2021

Sustainable finance

Financial institutions will need to assess, monitor and disclose the sustainability of their investments to build a resilient global financial system.

Global | Publikation | Februar 04, 2021

ESG for asset managers: 10 things you need to know

Environmental, social and governance (ESG) are factors used to assess the behaviour of entities and measure their environmental and social impacts.

United Kingdom | Publikation | Februar 04, 2021

Conduct Healthcheck for retail financial institutions

The global pandemic has brought the importance of good conduct and fair customer outcomes firmly into the spotlight.

United Kingdom | Technical Resource | November 09, 2020

Monitor and protect: Consumers and COVID-19

UK: Monitor and protect

Just as the challenges faced by individuals and businesses during the pandemic are exceptional, so too is the Government’s response, and it is clear that both of the UK regulators expect firms to approach their business in the same way. Just as the challenges faced by individuals and businesses during the pandemic are exceptional, so too is the Government’s response, and it is clear that both of the UK regulators expect firms to approach their business in the same way.

United Kingdom | Publikation | April 17, 2020

Sustainable finance regulation hub

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