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Non-Financial Misconduct Training Session

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A training session on non-financial misconduct hosted at Clifford Chance LLP on 27 April 2023.

On behalf of the Financial Services Lawyers Association (FSLA) and Clifford Chance LLP, we would like to invite our junior members (students and those with less than 5 years’ relevant experience), and those looking for a refresher, to attend a training session on non-financial misconduct hosted by Philip Cox, Murray Tabeart, Emily Goddard, and Amy Bird of Clifford Chance LLP. The increasing risk of regulatory enforcement in relation to non-financial misconduct may concern firms and, in particular, senior managers who themselves might face regulatory scrutiny.

This is especially so given that the exact scope of behaviour which may give raise to regulatory concern is not clear. The session will provide an overview of non-financial misconduct, the FCA’s recent approach to the issue (including the ways it might seek to take further action and the scope of its authority to do so) and possible future developments in the area.

The presentation will be followed by drinks and canapés, giving our junior members the chance to network in an informal and relaxed setting.

Location: Clifford Chance LLP, 10 Upper Bank Street, London, E14 5JJ

Date: 27 April 2023

Timings:

·       6 pm – registration

·       6.30 pm – session starts

·       7.30 pm – networking

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FSLA and Blackstone Chambers Trends in Enforcement Seminar

By | Events, Financial Services Practitioners | No Comments

The annual FSLA and Blackstone Chambers Seminar at RSA House on Thursday 23 February 2023 at 6:00pm

Blackstone Chambers, together with the Financial Services Lawyers Association (FSLA), is hosting its annual ‘Trends in Enforcement‘ seminar on Thursday, 23 February.

The seminar will comprise a panel chaired by Javan Herberg KC, Blackstone Chambers, and will also feature Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority, Daniel Chumbley, Head of Litigation, HSBC UK Bank plc and Andrew George KC, Blackstone Chambers. Further panelists will be announced in due course.

Registration will open at 6pm, with the talks starting at 6.30pm, followed by drinks and canapes at 8pm.

During the 90 minute seminar, the speakers will discuss the latest thinking on how to tackle some of the most difficult enforcement issues facing those working in the financial services sector, followed by a Q&A.

Members of Blackstone Chambers and the ExCo of FSLA would be pleased if you would join them and the panelists for a drinks reception following the seminar.

Please register for the event below.

We very much hope you will be able to join us and look forward to seeing you on 23 February. If you have any further queries or special requirements, please email the events team at events@blackstonechambers.com.

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Financial services: How can it deliver on Equality, Diversity and Inclusion

By | Events, Financial Services Practitioners, Junior Lawyers, Students | No Comments

A FSLA panel discussion at Norton Rose Fulbright on Wednesday 3 May 2023 at 6:30pm

On behalf of the Financial Services Lawyers Association (FSLA), we invite you to attend a panel event which seeks to examine the role of, and challenges faced by, financial services firms and practitioners in the Equality, Diversity & Inclusion space.

The event panel will include:

  • Elise Sabran (Chair) (UK Head of Governance and Culture & Conduct, Societe Generale)
  • Sharon Blackman OBE (Managing Director & General Counsel, EMEA Head of FX & Local Markets Legal, Citi)
  • Peter Curtis-Valino (Manager, Governance and Cross-Cutting Standards team, FCA)
  • Anna Jernova (Senior Policy Manager Governance, Remuneration & Controls team, PRA)
  • Daniel Winterfeldt MBE KC (Managing Director and General Counsel for EMEA and Asia, Jefferies)
  • Khasruz Zaman (former Global Head of M&A Legal, Barclays Bank and partner of Simmons & Simmons, now Secondary School Maths teacher)

The discussion will be followed by networking drinks and is open to any lawyers with an interest in financial services and Equality, Diversity & Inclusion within financial services (including students, private practice lawyers and in-house lawyers).

The event will be hosted at Norton Rose Fulbright in their Terrace Suite, 3 More London Pl, London SE1 2AQ.

You can register to attend the event at the link below. Please do not register again if you have registered before.

Registration will be open from 6pm and the panel discussion will start at 6:30pm.

If you have any queries or special requirements, please contact us at events@fsla.org.uk

We look forward to seeing you on 3 May 2023.

FSLA – Equality, Diversity and Inclusion Sub-Committee

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Introduction to the UK SMCR – training and networking with Allen & Overy

By | Events, Junior Lawyers | No Comments

A FSLA Juniors Lawyers’ training session and networking drinks at 6:00pm at Allen & Overy on Thursday 26 January 2023

The Senior Managers and Certification Regime (SMCR) is now business as usual for over 50,000 financial services firms in the UK. Since its introduction, SMCR market practice has developed significantly, trends have emerged and lessons have been learned by firms as well as their staff. The FCA and the PRA view the SMCR as having been a very successful piece of regulatory change, which is evident in terms of how it runs through in almost all their major regulatory policy initiatives and public commentary.   

On behalf of the Financial Services Lawyers Association (FSLA) and Allen & Overy (A&O), we would like to invite our junior members (students and those with less than 5 years’ relevant experience), and those looking for a refresher, to attend an training session on the SMCR hosted by Sarah Hitchins, Hannah Crisp, David McMenamin and Oliver Palmer. The session will also signpost key employment law issues that regulatory lawyers need to be alive to when advising on the SMCR.

The presentation will be followed by drinks and canapés, giving our junior members the chance to network in an informal and relaxed setting.

Location: A&O’s London office: One Bishops Square, E1 6AD

Date: Thursday 26 January 2023

Timings:

  • 6pm – registration
  • 6.30pm – session starts
  • 7.30pm – networking

If you wish to attend, please register below. If you have any queries or special requirements, please contact us at events@fsla.org.uk.

We look forward to seeing you on 26 January 2023.

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Investigations involving individuals – training session with Brown Rudnick and junior networking

By | Events, Junior Lawyers | No Comments

A FSLA Juniors Lawyers’ training session and networking drinks at 6:00pm at Brown Rudnick on Wednesday 30 November 2022

On behalf of the Financial Services Lawyers Association (FSLA) and Brown Rudnick, we invite our junior members (students and those with less than 5 years’ post-qualification experience) to attend a training session on investigations involving individuals. The session will be conducted by Chloë Pawson-Pounds, Ian Weinstein and Chloë Kealey from Brown Rudnick.

The session will focus on common issues which come up in the initial stages of a regulatory or internal investigation where individuals are involved. It will deal with issues such as: when an individual needs independent legal advice; who should pay for an individual’s legal advice; and what influences an individual when deciding whether to cooperate with an investigation. The session will look at these issues from the perspective of both firms and individuals. It has been designed to be of particular benefit to those who commonly advise firms and have to deal with individuals and their independent legal advisors but may have less familiarity with the issues being considered by individuals and how those might inform their approach to investigations.

The session will be followed by drinks and canapés, giving our junior members the chance to network in an informal and relaxed setting.

The event will take place at Brown Rudnick’s offices (8 Clifford Street, W1S 2 LQ) on Wednesday 30 November. Registration will be open from 6:00pm and the session will start at 6:30pm, followed by drinks at 7:45pm.

If wish to register, please use the link below.

If you have any queries or special requirements, please contact us at events@fsla.org.uk.

We look forward to seeing you on 30 November.

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Financial Crime Regulation and Enforcement: from cash to crypto

By | Events, Financial Services Practitioners, Junior Lawyers | No Comments

A FSLA and Dentons panel discussion on Tuesday 1 November from 5.45pm at Dentons

On behalf of the Financial Services Lawyers Association (FSLA) and Dentons, we invite our members to attend a panel event exploring recent financial crime risks and enforcement action as well as thoughts on future regulation in a world where crypto-assets are becoming increasingly mainstream. The panel will be chaired by Dentons. 
 
We are delighted to welcome our panel: 

  • Carly Nuzbach Lowery, Chief Legal Officer, Copper.Co
  • Victoria McLoughlin, Interim Head of Digital Assets, FCA
  • Matthew Nyman, Counsel, CMS 
  • Katharine Harle, Partner, Dentons
  • Chris Brennan, Partner, Dentons

Following the panel discussion, we hope you will join us and the panellists for a drinks reception.

The event will take place at Dentons’ offices (1 Fleet Pl, London EC4M 7RA) on Tuesday 1 November. Registration will be open from 5.45pm and the panel discussion will start at 6pm, followed by drinks at 7pm. This will be an in-person event only.

If you have any queries or special requirements, please contact us at events@fsla.org.uk.

Members can register for the event at the link below.

We look forward to seeing you on 1 November.

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Enforcement trends: an international perspective – a FSLA and XXIV Old Buildings panel discussion

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A FSLA and XXIV Old Buildings online panel event on Friday 29 July from 1pm to 2.30pm

On behalf of the Financial Services Lawyers Association (FSLA) and XXIV Old Buildings, we invite our members to attend a panel event discussing enforcement trends from an international perspective.

We are delighted to welcome our panel:

  • Mark Steward, Executive Director of Enforcement and Market Oversight, Financial Conduct Authority
  • Fiona Paddon, Associate Director, Dubai Financial Services Authority
  • Aki Corsoni-Husain, Partner, Harneys, London
  • David Brownbill QC, XXIV Old Buildings
  • Oliver Assersohn, XXIV Old Buildings

The event will take place online on Friday 29 July starting at 1pm. If you wish to attend, please register via the link below.

We look forward to welcoming you on 29 July.

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FSLA Essay Competition 2022

By | Junior Lawyers, Students | No Comments

The competition is now closed. Thank you everyone for your entries.

The Financial Services Lawyers Association is pleased to announce its annual essay competition.

The title for this year’s competition is as follows:

Laundromat, police state or somewhere in between: has the correct balance been struck between anti-money laundering, anti-fraud, and anti-corruption aims on the one hand and the benefits of free enterprise and a global financial market on the other?
If not, explain one legislative or regulatory change which could make a significant difference.

The purpose of the essay is to provide students with the opportunity to apply their studies to issues that are of particular relevance to the financial services industry and wider society.

Essays should be no longer than 1,500 words. The full competitions rules can be found on the FSLA website through the link below.

Please submit your essay by Friday 15 July 2022 to essay@fsla.org.uk.

Prizes will be presented at a reception hosted on a date to be confirmed.

The Chris Stallard Memorial Prize (first prize) is £1,500 and an internship with the FCA.

The runner up prize is £750. Third prize is £500.

Entrants are not required to be FSLA members, though free membership is offered to all law students.

FSLA Essay Competition 2022 Rules

Advocacy at the Upper Tribunal – a FSLA and Herbert Smith Freehills panel event

By | Events, Financial Services Practitioners | No Comments

A FSLA and Herbert Smith Freehills panel event on Thursday 23rd June at 6:45pm hosted by Herbert Smith Freehills and online

On behalf of the Financial Services Lawyers Association (FSLA) and Herbert Smith Freehills (HSF), we invite our members to attend a panel event on advocacy at the Upper Tribunal, chaired by Chris Ninan and Natasha Stevens from HSF.

We are delighted to welcome:

  • Judge Timothy Herrington, Upper Tribunal (Tax & Chancery Chamber)
  • Saima Hanif QC, 3 Verulam Buildings
  • Farhaz Khan QC, 3 Verulam Buildings

to our panel to discuss experience and strategies from both perspectives.

Following the panel discussion, we hope you will join us and the panellists for a drinks reception.

The event will take place at HSF’s offices (Exchange House, Primrose Street, EC2A 2EG) on Thursday 23 June. Registration will be open from 6:30pm and the panel discussion will start at 6:45pm, followed by drinks at 7:45pm. This event will be held under the Chatham House Rule.

We are happy to confirm that the event will still be going ahead in person. However, noting the planned train strikes, the event will now also be available to join remotely.

If you wish to attend online, please register via the link below. If you have any queries or special requirements, please contact us at events@fsla.org.uk.

We look forward to seeing you on 23 June.

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FSLA Junior Lawyers Training: Recording of Introduction to Market Abuse session with Herbert Smith Freehills

By | Events, Financial Services Practitioners, Junior Lawyers, Students | No Comments

On Tuesday 19 April 2022 the Financial Services Lawyers Association and Herbert Smith Freehills invited our junior members to attend a training session on market abuse led by FSLA Advisory Board member and HSF Partner Chris Ninan.

The session provided an overview of the civil and criminal market abuse regime in the UK and do a deeper dive into some of the key concepts, and will finish with a look at the regulators’ enforcement action in this area.

The event was very informative and would be of great interest to our junior members who were unable to attend.

Registered FSLA members can view the recording of the session below. If you wish to become a member or need to confirm your username, please contact secretary@fsla.org.uk.

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