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 | mars 06, 2023

Consumer Duty Insights

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 | janvier 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 | décembre 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 | septembre 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 | juin 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 | juin 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 | janvier 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 | novembre 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 | avril 27, 2021

Sustainable finance regulation hub

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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.

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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

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