Financial Services Practitioners

Sep 05
0

FSLA Academy Event – Market Abuse and Associated FCA Investigations

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On behalf of the Financial Services Lawyers Association (FSLA) and Brown Rudnick, we invite you to attend a FSLA Academy series of training sessions on â€śMarket abuse and associated FCA investigations”.

The series will provide a detailed but practical guide to the various criminal and civil market abuse offences. It will consider the elements of the various offences (e.g. insider dealing, unlawful disclosure of inside information and market manipulation), the compliance considerations that the regime raises for firms and individuals (e.g. the circumstances in which information needs to be disclosed to the market and who inside information can be shared with) and how market abuse investigations differ from other FCA investigations (e.g. the potential for dual-track investigations and the restrictions around the use of compelled evidence).

The series will consist of three sessions:

  1. Insider dealing
  2. Unlawful disclosure and market manipulation
  3. FCA investigations into market abuse

The sessions will be led by members of Brown Rudnick’s Contentious Financial Services Team accompanied by a different barrister, in-house practitioner or regulator for each session.

The series is open to all but specifically targeted at practitioners with fewer than seven years dedicated contentious regulatory experience. It is therefore also suitable for those practitioners who are more than seven years PQE / call but who do not exclusively focus on contentious regulatory work.

Each session will be followed by drinks and canapés, providing an opportunity to network.

Location

The sessions will take place at Brown Rudnick’s offices (8 Clifford St, London W1S 2LQ).

Dates

  1. Tuesday 30 September – Session 1: Insider dealing
  2. Tuesday 21 October – Session 2: Unlawful disclosure and market manipulation
  3. Tuesday 11 November – Session 3: FCA investigations into market abuse


Timings

For each session, registration will be open from 6.00pm and the session will start at 6:30pm, followed by drinks and canapés.

If you wish to attend one or more of the sessions, or have any queries or special requirements, please contact us at fslalondon@gmail.com.

Aug 11
0

The Road Less Travelled: Navigating the Upper Tribunal – A FSLA Academy and Mishcon de Reya Event

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A FSLA Academy and Mishcon de Reya in-person panel event to discuss how to navigate references to the Upper Tribunal

On behalf of the Financial Services Lawyers Association (FSLA) and Mishcon de Reya, we would like to invite you to attend our in-person event on references to the Upper Tribunal to be held on Wednesday, 3 September 2025 at Mishcon de Reya, Africa House, 70 Kingsway, WC2B 6AH.

The 1-hour event will provide attendees with a practical understanding of how to navigate references to the Upper Tribunal, including process and procedure, insights from the front line and lessons from recent Upper Tribunal cases. The event will be followed by a Q&A.

The panel event will feature the following speakers:

  • Guy Wilkes, Partner and Head of the Financial Services Investigations and Enforcement practice at Mishcon de Reya
  • Elizabeth Hope, Managing Associate at Mishcon de Reya
  • Farhaz Khan KC, 3 Verulam Buildings
  • Ava Mayer, Blackstone Chambers

Registration will open at 5.45pm, with the panel starting at 6.15pm, followed by drinks and canapés at 7.30pm.
The event is open to all but specifically targeted at practitioners with fewer than seven years dedicated contentious regulatory experience. It is therefore also suitable for those practitioners who are more than seven years PQE / call but who do not exclusively focus on contentious regulatory work.

We look forward to seeing you on 3 September 2025. If you have any queries or special requirements, please email Shirley.Layne@Mishcon.com.

Venue: Mishcon de Reya, Africa House, 70 Kingsway, London, WC2B 6AH

Date: Wednesday 3 September 2025

Time: 5.45pm – Registration
          6.15pm – Introduction, panel discussion and Q&A
          7.30pm – Drinks 

If you are interested in attending, please contact us at fslalondon@gmail.com

May 14
0

Annual General Meeting 2025

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Online on 29 May 2025 at 09:30

We invite you to attend the Annual General Meeting of the Financial Services Lawyers Association, which will take place online on 29 May 2025 at 09:30. 

If you are a member who wishes to attend please contact treasurer@fsla.org.uk.

All members are welcome to attend. The agenda is set out below.

Agenda

  1. Report of the FSLA Executive Committee
  2. Secretary’s Report (Oliver Assersohn KC)
  3. Treasurer’s Report (Henry Reid)
  4. Pro-bono
  5. FSLA events and activities
  6. Executive Committee elections 2025
  7. Any other business
Mar 31
0

Lord Eatwell: Visions for the Future of Financial Regulation – from the Practical to the Romantic

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6:00pm on Wednesday, 7 May 2025 hosted by Reed Smith

On behalf of the Financial Services Lawyers Association (FSLA) and Reed Smith, we would like to invite you to attend this fireside chat and reception with Lord John Eatwell on Wednesday, 7 May 2025 at Reed Smith, 1 Blossom Yard E1 6RS.
 
Join us for this in-person event, where Lord Eatwell will share key insights from his vast expertise in financial services regulation, including his concerns for the present and visions for the future.
 
Lord Eatwell is a British economist, academic, and public policy expert with extensive experience in financial services regulation. Educated at Queens’ College, Cambridge, and later earning his PhD from Harvard University, Lord Eatwell has had a career spanning academia, politics, and public service. He has held key academic positions, including serving as a Fellow of Trinity College, Cambridge, and as a lecturer in the Faculty of Economics and Politics. From 1997 to 2020, he was President of Queens’ College, Cambridge, and he holds the title of Professor Emeritus of Financial Policy at the Cambridge Judge Business School.
 
Beyond academia, Lord Eatwell has played a significant role in shaping economic policy. From 1985 to 1992, he was economic advisor to Neil Kinnock, then Leader of the Labour Party, before being appointed a life peer in the House of Lords in 1992. He has since held key roles, including Principal Opposition Spokesman on Treasury and Economic Affairs and been a member of influential committees such as the Lords Industry and Regulators Committee. He currently sits on the Financial Services Regulation Committee.
 
Lord Eatwell has contributed significantly to financial regulation, previously sitting on the Board of the Securities and Futures Authority and the Regulatory Decisions Committee of the Financial Services Authority. He was also Chairman of the Jersey Financial Services Commission.
 
His influence extends beyond finance and policy. He has served as Chair of CRUSAID, an HIV/AIDS charity, and both the Royal Opera House and British Library Boards. With his experience in economics, regulation, and public service, Lord Eatwell is a highly esteemed voice in financial and policy discussions.
 
Registration will open at 6:00pm, with the discussion starting at 6:30pm, followed by Q&A and drinks.
 
Please note that attendance at this event is for FSLA Members only. If you wish to become a member of FSLA to attend, please contact fslalondon@gmail.com.
 
If you have any queries or special requirements, please contact events@fsla.org.uk.
 
We look forward to seeing you on Wednesday 7 May.

Feb 24
0

FSLA Response to FCA CP24/2 Part 2

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FSLA’s response may be found here.

FSLA has submitted a response to the FCA’s Consultation Paper CP24/2 Part 2 titled “Greater transparency of our enforcement investigations”, following on from our response to the initial Consultation Paper, which may be found here.

Despite some of the proposed amendments detailed in CP24/2 Part 2, FSLA remains of the view that the Publication Policy goes further than what is necessary, legitimate and proportionate to achieve the FCA’s stated objectives of transparency, consumer protection and the delivery of a more streamlined and effective Enforcement process. We contend that the FCA’s objectives could be achieved through existing regulatory tools and a more balanced approach, including a cost-benefit analysis and further consultation before implementing such a fundamental policy change

Our response examines the aims and objectives of the FCA, the process and safeguards of the Publication Policy, the case studies detailed by the FCA in CP24/2 Part 2, the potential implications for individuals of the Publication Policy and the possible next steps.

FSLA was pleased to see our evidence referred to in the House of Lords Financial Services Regulation Committee’s report into the FCA’s CP24/2 consultation, titled “Naming and shaming: how not to regulate”, a link to which may be found here.

Please note: The response is submitted on behalf of FSLA and is intended to capture the overall weight of contributions received from its membership, but the views, thoughts, and opinions expressed in this response belong to the individual authors of this paper (and not, for example, the author’s employer, chambers, organisation, committee, or other group or individual members of FSLA). For the avoidance of doubt, this paper does not contain the views of, or purport to make any representations on behalf of, any FSLA members who are employed by the FCA, the Bank of England (including the Prudential Regulation Authority) or any other regulatory bodies.

Feb 18
0

Pathways into Financial Services and Regulatory Law

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Tuesday, 25th March from 6pm – non-members welcome

On behalf of the Financial Services Lawyers Association (FSLA) Equality, Diversity and Inclusion Committee, we would like to invite you to attend the “Pathways into Financial Services and Regulatory Law” panel discussion and networking on Tuesday, 25th March, starting at 6pm.

The event will be hosted at the City of London Law School with a panel discussion chaired by Saima Hanif KC of 3 Verulam Buildings, a leading financial services silk. The event will feature panellists with a range of experiences, including:

  • Aleja Isip – Legal Counsel at the Financial Ombudsman Service. Aleja currently works for the Financial Ombudsman Service, within the Legal and Jurisdiction team. Aleja previously worked as a Lawyer at the Financial Conduct Authority, in its Enforcement and Market Oversight division. Admitted as a solicitor in 2022, Aleja was one of the first cohort to qualify via the SQE route. Aleja has had various roles in private practice and in-house where she gained Qualifying Work Experience, which included areas of professional discipline, healthcare, and insurance.
  • Thomas Cave – Solicitor Apprentice at CMS Cameron McKenna Nabarro Olswang (second year). Tom is currently working within the Financial Services Litigation team. After completing A-levels at a state school in North Yorkshire, Tom opted for a gap year, during which he discovered the solicitor apprenticeship route as an alternative to traditional university education. This decision has allowed Tom to gain invaluable hands-on experience in the legal field while continuing his studies and progressing towards qualification.
  • Holly Girven – Barrister at Farrar’s Building. Holly is a barrister specialising in regulatory and personal injury law at Farrar’s Building. She is a manual wheelchair user and has first-hand experience of the importance of improving access to the legal profession for disabled people. She has previously spoken on Radio 4’s Law in Action and various podcasts about her experiences as a disabled barrister.
  • Dr Rohan Clarke – Pupil Barrister at CANDEY. Rohan is a former Jamaican diplomat who started his pupillage in September 2024. During his pupillage, he has undertaken a variety of work in sanctions advisory, insolvency and offshore and general commercial litigation. In addition to being a former diplomat, Rohan is an international consultant on illicit finance, a Fellow at Yale University’s Global Justice Program and a member of the organising Secretariat of the Cambridge International Symposium on Economic Crime.

During the panel discussion, our speakers will discuss their experiences and journeys into financial services and regulatory law. There will be ample time for questions at the end.

Please register to ensure that you have a space – we are expecting this event to be extremely popular, please contact events@fsla.org.uk if you would like to attend.

Following the panel discussion, we invite you to join us for a networking session with refreshments.

Registration will open at 6pm, with the panel starting at 6.30pm, followed by networking drinks from 8pm to 9pm.

Venue: City of London Law School, Faculty of Law, Northampton Square, Sebastian Street, London EC1V OHB

Due to the nature of the event, we are delighted to be able to invite non-members and members alike.

FSLA membership is free for students – for more details please email fslalondon@gmail.com.

We look forward to seeing you there!

Jan 16
0

The FSLA and Blackstone Chambers Trends in Enforcement Seminar

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Wednesday, 5th March 2025 from 6pm, hosted at The Royal Society of Arts.

On behalf of the Financial Services Lawyers Association (FSLA) and Blackstone Chambers, we would like to invite you to attend the annual Trends in Enforcement seminar and reception on Wednesday, 5 March 2025 at RSA House, 8 John Adam Street, London WC2N 6EZ.

The seminar will comprise a panel chaired by Javan Herberg KC, Blackstone Chambers, and will feature Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, Financial Conduct Authority, Andrew George KC, Blackstone Chambers, Martyn Hopper, Partner, Linklaters and Scott Corrigan, Global Head of Disputes & Government Investigations, Legal, Standard Chartered Bank.

Registration will open at 6pm, with the panel starting at 6.30pm, followed by drinks and canapés 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 FSLA ExCo would be pleased if you would join them and the panellists for a drinks reception following the seminar.

Please note that attendance at this event is strictly for FSLA Members. If you wish to become a member of FSLA in order to attend, please contact fslalondon@gmail.com. 

Please contact events@fsla.org.uk if you want to attend.

We look forward to seeing you on 5th March 2025.

Dec 16
0

Modernising the Redress System – A FSLA and Ashurst Event

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A FSLA and Ashurst in-person roundtable to discuss the FOS/FCA Call for Input on Wednesday 8th January 2025 from 8.30 to 10am at Ashurst

On behalf of the Financial Services Lawyers Association and Ashurst we would like to invite you to attend our forthcoming event on Modernising the Redress System.

The roundtable will discuss the challenges that the Financial Ombudsman Service regime creates and explore the potential solutions sought under the recent Call for Input.

The roundtable discussions will be facilitated by four panellists:

  • Nathan Willmott, Partner at Ashurst
  • Saima Hanif KC, of 3 Verulam Buildings
  • Katharine Harle, Partner at Dentons
  • Gregory Brandman, Partner at Eversheds Sutherland

This is an in-person event, which will be taking place at Ashurst, Fruit & Wool Exchange, 1 Duval Square, London, E1 6PW. Registration will open at 8.30am, with refreshments, with the roundtable commencing at 9am.

If you have any queries ahead of the event, please contact us at events@fsla.org.uk.

Please note this is a small event and we may need to run a waiting list.

We look forward to seeing you on 8 January 2025.

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Nov 18
1

FSLA Christmas Party 2024

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Christmas Drinks Party, Tuesday 10th December, 6.30pm-9pm

The Board and ExCo of FSLA invite all members to our annual Christmas Drinks Party, which this year is taking place on the Piazza Terrace, 5th Floor, Royal Opera House, Bow Street, London, WC2E 9DD.

The Piazza Terrace of the Royal Opera House is a roof top location overlooking Covent Garden. The occasion presents an opportunity to socialise with fellow FSLA members and enjoy a generous raffle. The winners of the 2024 FSLA Essay Competition will also be announced.

Nearest tube stations: Covent Garden (3 mins), Holborn (10 mins) Leicester Square (10 mins), Temple (10 mins). For a map see https://www.rbo.org.uk/eat-and-drink/piazza

If you are able to attend the drinks, please register below.

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May 03
0

What can ED&I deliver for financial services?

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A FSLA panel discussion at Travers Smith LLP on Thursday 23 May 2024 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 impact that equality, diversity and inclusion (ED&I) initiatives can have on financial services, and the advisors which service the sector.

We are grateful to the experts who will contribute to the event, including:

Sophie Hulm – CEO, Progress Together 

Progress Together is a not-for-profit membership body which aims to create equity of progression for individuals in the financial services sector, levelling the playing field and ensuring equal access to senior level roles for all, regardless of socio-economic background.

Sarah Minor-Massy – Director – Diversity, Equity & Inclusion, PwC

Sarah Minor-Massy is a trained behavioural scientist with 15+ years of management consulting experience. Sarah helps clients to refine their understanding of their current DE&I challenges, and develop DE&I strategies that are aligned with overall business strategy. Sarah has extensive experience in inclusive leadership development, working with leaders to deepen their understanding of DE&I, connect to the topic on a personal level, increase their confidence and competence to engage with stakeholders, and role model inclusion throughout their organisation.

Rupert Allen – Barrister, Fountain Court

Rupert has a broad commercial and civil practice, and frequently acts for and against regulators in professional disciplinary and regulatory investigations (particularly in relation to solicitors, accountants and matters concerning financial services), including where there are allegations of discrimination and/or offensive communications.    

Natalie Lewis – Partner, Travers Smith LLP

Natalie leads the Fintech, Market Infrastructure and Payments Group at Travers Smith, and is the executive sponsor of the firm’s Gender Balance Group.

Michael Raymond – Partner, Travers Smith LLP

Michael is a partner in the Financial Services and Markets Group at Travers Smith, and an active member of the firm’s LGBTQ+ Group.

A panel discussion will be followed by networking drinks and is open to any lawyers with an interest in financial services and/or ED&I within financial services (including students, private practice lawyers and in-house lawyers).  The event is not restricted to FSLA members.

The event will be hosted by Travers Smith at their offices at 10 Snow Hill, London EC1A 2AL.

The event will start at 6pm and the panel discussion will start at 6:30pm.

You can register to attend at this link.

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

We look forward to seeing you on 23 May 2024.

FSLA – Equality, Diversity and Inclusion Working Group