In this comparative report, we review the evolving approach to non-financial misconduct taken by national financial services regulators in 12 key jurisdictions - including the extent to which this will be considered when assessing an individual's suitability to work in financial services.
To illustrate these differences, we compare the likely response of those regulators to three different fact patterns. We also consider the approach in those jurisdictions to firms' whistleblowing programmes.
In this note we highlight the most important enforcement developments in 2020, together with the key areas we believe will drive the nature and direction of enforcement activity by the UK financial regulators during 2021. This year’s themes include consumers; market conduct; operational Resilience; AML and financial crime; individual accountability; conduct, culture and governance; and practice, policy and procedure.
The importance of technical innovation and the significance of the digital development is immense. In this context our Vlog provides an overview of the relevant topics and an insight into current developments.
As we settle into 2021, we look at the key topics we expect to be relevant to derivatives and structured products over the course of the year. Explore our high-level horizon scanner on interest rate reform, sustainable finance, the CLO market, EMIR/UK EMIR, CSDR/UK CSDR, Capital Markets Recovery Package and PRIIPs, the work under way on the UK’s future regulatory framework and reform to the Retail Prices Index.
The Dispute Resolution Year in Review and Year to Come – A Global Perspective draws together analysis, thought leadership and highlights from our Dispute Resolution lawyers around the world. The guide summarises a selection of the major developments in dispute resolution from 2020 and highlights a number of significant developments on the horizon in 2021.
As part of the Year in Review, Year to Come series, our French Competition team has contributed a French Competition Law Year in Review and Year to Come publication. In this publication we have summarised the key legal developments in the French Competition space for 2020 and looked forward in predicting likely themes for 2021.
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