Treasury

“We work with the treasury teams of both financial institutions and unregulated corporates on regulatory matters related to their own securities and investments, cash management arrangements and payments. Hot topics are the digitisation of cash, payment in crypto assets, issuance of NFTs. Other relevant issues are requirements attaching to derivatives and repos, AML systems and controls and payment services.”

Mondial | Publication | août 2022

Examples of experience / types of work

Documentation and Product Terms

Prudential and Capital

Hedging Arrangements and Trading Structures

Enforcement and Investigations

FS library

Comprehensive lists and links to the key pieces of EU and UK legislation and regulatory guidance relevant for the markets space

Our resources

Insights

Navigating Communications - Part 2: Promotional messages on social media platforms

In our latest podcast, our global Financial Services team discusses promotional messages on social media platforms, cove...

Mondial | November 04, 2024

Navigating Communications - Part 1: Off-channel messaging

In our latest podcast, our global Financial Services team covers recent regulatory and enforcement developments in the U...

Mondial | October 17, 2024

Regulation Around the World: Issue 12 – AML update

In our latest edition of Regulation Around the World, we consider developments in anti-money laundering regulation in Au...

Mondial | October 09, 2024

Global Regulation Tomorrow Plus: EMEA insights series: Episode 15 – Poland’s approach to MiCAR

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory ...

Mondial | October 07, 2024

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Publication

Regulation of fiat-backed stablecoins: the FSRA’s consultation paper on its “Fiat-Referenced Tokens” rules

On 20 August 2024, the Financial Services Regulatory Authority (the FSRA), the financial services regulator in the Abu D...

Moyen-Orient | September 02, 2024

EMEA Regulatory Insights Series – Italy’s approach to MiCAR

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory ...

Mondial | August 05, 2024

Regulation Tomorrow Plus: DE&I series “Non-financial misconduct”

In the sixth podcast in our DE&I series, Jonathan Herbst, Katie Stephen, Rebecca Dulieu and Simon Lovegrove discuss non-...

Mondial | July 12, 2024

Global Regulation Tomorrow Plus: 30 June 2024 – MiCAR’s first milestone

In our latest Global Regulation Tomorrow Plus podcast, Anna Carrier, Nikolai de Koning and Sebastien Praicheux discuss t...

Mondial | July 02, 2024

Risks Redefined: The UK General Election – Compliance considerations for financial services firms

In the first episode of our podcast series, Risks Redefined, brought to you by the Risk Advisory team, Hannah Meakin and...

Mondial | June 28, 2024

Publication

FCA / PRA focus on D&I: What do firms need to be doing now?

Last year, the FCA and PRA published Consultation Paper (CP) 23/20 “Diversity and inclusion in the financial sector – wo...

Royaume-Uni | June 27, 2024

Global Regulation Tomorrow Plus: What does the general election mean for financial services?

In our latest Global Regulation Tomorrow Plus podcast, Jonathan Herbst and Glen Hall discuss what it is like for a new g...

Mondial | June 26, 2024

New Split the Difference podcast: the EU DLT Pilot Regime and the UK Digital Securities Sandbox

Our podcast series Split the Difference explores divergence between the EU and UK regulatory regimes in the markets spac...

Mondial | June 12, 2024

Webinar

Part 3: Greenwashing in focus: Navigating the rise of enforcement

In this three-part webinar series, our team of experienced NRF lawyers and consultants, along with industry leaders and ...

Mondial | June 12, 2024

Publication

Asserting Control Over AI

Whilst regulators and the UK government debate how best to regulate artificial intelligence (AI) to ensure that it deliv...

Royaume-Uni | June 06, 2024

Global Regulation Tomorrow Plus: EMEA regulatory insights series – UAE

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory ...

Mondial | May 23, 2024

Publication

The EU SFDR and UK SDR examined

Last November the Financial Conduct Authority (FCA) published Policy Statement 23/16 (PS23/16) containing final rules an...

Mondial | May 13, 2024

Biden Administration issues No Surprises Act final rule

Webinar

Investigations in EMEA: Horizon scanning

2024 promises to bring important changes to anti-money laundering regulation and wider financial crime legislation in th...

Mondial | April 16, 2024

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Blog

Regulation Tomorrow Plus: DE&I series “Inclusivity”

In the fifth podcast in our DE&I series, Simon Lovegrove, Hannah Meakin and Hannah McAslan-Schaaf are joined by Alasdair...

Mondial | April 11, 2024

Publication

Quarterly UK financial services horizon scanner

In this briefing we set out some of the key upcoming dates that we are aware of so far in the financial services space f...

Royaume-Uni | April 08, 2024

Publication

A new approach to publishing FCA enforcement investigations - key takeaways from the consultation

On 27 February 2024, the Financial Conduct Authority (FCA) published a Consultation Paper (CP24/2) proposing, amongst ot...

Royaume-Uni | March 27, 2024

Publication

PRA enforcement changes: What you need to know

On 30th January 2024, the Bank of England (the Bank) and Prudential Regulation Authority (PRA) published Policy Statemen...

United Kingdom | February 22, 2024

Publication

Financial Services Regulatory ESG Monthly Updaters

Environmental, Social and Governance-related (ESG) matters are high on the global agenda with a focus not only on climat...

Mondial | February 14, 2024

Publication

CRD VI: Third country branches and subsidiaries

On 27 October 2021, the European Commission (Commission) adopted a Banking Package which set out proposed amendments to ...

Royaume-Uni | February 06, 2024

Regulation Tomorrow Plus: EMEA regulatory insights series – UK

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory ...

Mondial | February 01, 2024

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Publication

The future financial services regulatory regime for cryptoassets in the UK

HM Treasury has set out its final proposals for the UK’s future financial services regulatory regime for cryptoassets, c...

Royaume-Uni | January 15, 2024

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Publication

The anti-greenwashing rule: Proposed FCA guidance

On 28 November 2023, the Financial Conduct Authority (FCA) launched a consultation on its proposed new guidance to suppo...

Royaume-Uni | December 27, 2023

Publication

Horizon scanning: Ten regulatory topics to look out for in 2024

In this article we look at ten regulatory topics for 2024 that will have a significant impact on institutions operating ...

Royaume-Uni | December 22, 2023

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Publication

The FCA SDR Policy Statement: Some of the headlines

On 28 November 2023, the Financial Conduct Authority (FCA) published its final rules and guidance on Sustainability Disc...

Royaume-Uni | December 18, 2023

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 th...

Mondial | December 01, 2023

Decisions Decoded: Key takeaways from the latest AML enforcement decision

In this episode, Senior Knowledge Lawyer Catherine Pluck talks to Financial Services Partner Katie Stephen about the rec...

Mondial | November 10, 2023

Regulation Tomorrow Plus: HMT final proposals for UK cryptoasset regulation

On 30 October 2023, HM Treasury (HMT) published its final proposals for the future financial services regulatory regime ...

Mondial | November 09, 2023

Regulation Tomorrow Plus: DE&I series ‘D&I and individual accountability’

In the third podcast in our DE&I series, Simon Lovegrove and Hannah McAslan-Schaaf cover the interplay between the regul...

Mondial | October 25, 2023

Regulation Tomorrow Plus: DE&I series ‘What should firms be doing now’?

In the second podcast in our DE&I series, Simon Lovegrove and Hannah McAslan-Schaaf discuss what firms should be doing i...

Mondial | October 23, 2023

Financial services regulation and ESG: Regulation Around the World

In our latest edition of Regulation Around the World, our financial services lawyers and risk consulting team from the U...

Mondial | October 17, 2023

New Regulation Tomorrow Plus podcast: DE&I series: FCA and PRA consultations

In the first podcast in our DE&I series, Jonathan Herbst, Hannah Meakin and Hannah McAslan-Schaaf provide an overview of...

Mondial | October 11, 2023

Regulation Tomorrow Plus: EMEA regulatory insights series – Netherlands

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on the key regulatory issues t...

Mondial | September 21, 2023

Regulation Tomorrow Plus: Culture – Recent developments and practical steps

In our latest Regulation Tomorrow Plus podcast, Senior Knowledge Lawyer Catherine Pluck is joined by London Financial Se...

Mondial | August 31, 2023

Publication

Managing global implementation and regulatory change projects

Global businesses are operating in an ever-changing and increasingly complex regulatory landscape. It is of vital import...

Royaume-Uni | August 24, 2023

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Publication

Governance and sustainability

Firms have been incorporating and gradually increasing sustainability themes into their operations, products and service...

Royaume-Uni | August 14, 2023

Publication

Ten key steps to reduce the risk of a greenwashing regulatory enquiry

Identifying and preventing greenwashing is a growing priority for a number of regulators around the world and is a key a...

Royaume-Uni | August 08, 2023

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Publication

Handling regulatory interventions: Considerations for responders

Two years ago, in July 2021, the Financial Conduct Authority (FCA) committed to being a more “innovative, assertive and ...

Royaume-Uni | August 02, 2023

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Regulation Tomorrow Plus – Mansion House speech: Key takeaways

In our latest Regulation Tomorrow Plus podcast, Global Director of Financial Services Knowledge, Simon Lovegrove is join...

Mondial | July 18, 2023

Publication

Internal frameworks and reporting

Inadequate governance is regularly cited by regulators as a factor which has contributed to the failings of firms. From ...

Royaume-Uni | May 31, 2023

Publication

Directive on Green Claims

In March 2023, the European Commission (Commission) adopted a proposal for a Directive on substantiation and communicati...

Royaume-Uni | May 24, 2023

Regulation Tomorrow Plus - AML: Key themes for firms from recent enforcement

In our latest Regulation Tomorrow Plus podcast, Senior Knowledge Lawyer Catherine Pluck is joined by Counsel Joe Smallsh...

Mondial | May 22, 2023

Publication

IT migration and outsourcing: Lessons from the latest SMCR enforcement case

On 13 April 2023, the Prudential Regulation Authority (PRA) fined the former Chief Information Officer (CIO) of TSB Bank...

Royaume-Uni | May 02, 2023

Silicon Valley Bank UK: The regulatory tools in play

The Bank of England (BoE) has a number of resolution tools at its disposal which are provided for in legislation followi...

Mondial | March 28, 2023

Regulation Tomorrow Plus: ESG insight series

In the first of our financial services ESG insight series, Haney Saadah discusses what he is seeing in the market and so...

Mondial | March 24, 2023

Analytics Report Status Information Analysis Chart

Regulation Tomorrow Plus – HM Treasury consults on the UK’s financial services regime for cryptoassets

On 1 February 2023, HM Treasury issued its latest proposals for the UK’s financial services regime for cryptoassets.

Mondial | February 02, 2023

Publication

Governance - lessons for 2023 from regulatory enforcement

It is widely recognised that poor culture has been a major root cause of past conduct failures. In light of this, the FC...

Royaume-Uni | January 05, 2023

Regulation Tomorrow Plus - What to expect in 2023?

In this episode, our London Financial Services & Regulation partners reflect on some of the key UK regulatory themes fro...

Mondial | December 19, 2022

Publication

EU and UK financial market related initiatives and the energy crisis

Both the EU and the UK have been fighting the energy crisis for a year. As the crisis has evolved both the UK and the EU...

Mondial | December 01, 2022

Regulation Tomorrow Plus – The importance of terminology and the “S” and “G” parts of ESG

In this episode of RT Plus on ESG, Haney Saadah touches on the FCA’s recent consultation paper on sustainability disclos...

Mondial | November 24, 2022

Publication

What is the ICARA process and what is an ICARA document? Practical issues for firms

The new Investment Firm Prudential Regime introduces an internal capital and risk assessment (ICARA) process for both sm...

Mondial | February 21, 2022

Publication

The 2022 EU and UK Financial Services Regulation and Policy Outlook for Markets

The upcoming months will bring about a busy regulatory agenda in the area of wholesale financial markets regulation in t...

Mondial | February 03, 2022

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Publication

Market Watch 68

On 16 November 2021, the FCA published its latest newsletter regarding market conduct and transaction reporting issues, ...

Royaume-Uni | December 01, 2021

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Publication

UK Investment Firm Prudential Regime (IFPR): The impact

The UK Investment Firm Prudential Regime (IFPR) will take effect on January 1, 2022.

Mondial | August 02, 2021

Publication

AML and Treasury functions

This article aims to support Treasury functions in understanding and combating money laundering risks to which they are ...

Mondial | June 11, 2021

Webinar

IFR/IFD: The new prudential regime for MiFID II investment firms

Set to take effect in Europe on 26 June 2021 and in the UK on 1 January 2022, the Investment Firm Regulation (IFR) and t...

Royaume-Uni | May 12, 2021

Regulation Tomorrow Plus: EMEA regulatory insights series – UK

In our EMEA regulatory insights series colleagues from our EMEA offices provide an update on some of the key regulatory ...

Mondial | February 01, 2024

Other useful resources

Road to COP29: Our insights

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

Global Regulation Tomorrow

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

Financial Services Regulatory Developments in ESG

ESG is high on the regulatory agenda. Businesses, governments, regulators, financial services firms and individuals all have a part to play in tackling climate change and this view is increasingly shared across society.

Financial services regulation hub

With insights from our legal, risk and compliance, and government relations experts, this hub will keep you up to date on regulatory change as it happens.

You may also be interested in

Financial Services Regulatory Developments in ESG

Global | Publication | mai 16, 2023

Financial services investigations and enforcement

Our Financial services investigations and enforcement group comprises a multidisciplinary team of lawyers, including both contentious and advisory technical specialists, and risk and compliance professionals, combining deep legal and regulatory knowledge with practical industry expertise.

United Kingdom | Publication | septembre 15, 2022

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 | août 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 | juin 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 | juin 16, 2021

Governance

We 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.

Global | Publication | février 26, 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 | février 02, 2021

Recent publications

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International arbitration report

In this edition, we focused on the Shanghai International Economic and Trade Arbitration Commission’s (SHIAC) new arbitration rules, which take effect January 1, 2024.

Global | November 19, 2024

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Road to COP29: Our insights

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

Global | November 11, 2024

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AIFMD guides: The marketing passport and the requirements for fund managers across the EU

Global | 1 October 2024

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