Financial Services Practitioners

FSLA Christmas Drinks 2019

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6pm onwards on Tuesday 17th December at the Reform Club, 104 Pall Mall

The Board and ExCo of the FSLA invite all members to the FSLA annual Christmas Drinks Party which this year is taking place in the Library of the Reform Club at 104 Pall Mall, SW1Y 5EW. The Reform Club is one of the finest Victorian buildings in the country, a palatial masterpiece by Sir Charles Barry that has remained largely unchanged since it was completed as a political club for supporters of the Great Reform Bill in 1832 which enlarged the franchise and granted seats in Parliament to large cities. The club is now apolitical, but given its historic origins and the fact of a General Election due to be held on 12th December, the ExCo considered it to be an apt venue for this year’s Christmas party.

For a map see https://www.reformclub.com/home/contact

If you are not a member of FSLA but would like to attend the event please email treasurer@fsla.org.uk to join.

You can register at the link below.

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Personal responsibility in the financial services industry

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6pm on Thursday 28th November at Lincoln’s Inn Old Hall

The Financial Services Lawyers Association and XXIV Old Buildings will be hosting a panel discussion on “Personal responsibility in the financial services industry”.

Joined by speakers from XXIV Old Buildings, our panel will include:

  • Upper Tribunal Judge Herrington;
  • Tracey McDermott CBE, Standard Chartered (Group Head, Corporate Affairs, Brand & Marketing, Conduct, Financial Crime and Compliance);
  • Carlos Conceicao, Partner, Clifford Chance;
  • Stephen Moverley Smith QC, XXIV Old Buildings.

The panel will be introduced by Oliver Assersohn, XXIV Old Buildings and FSLA ExCo Member.

During the seminar, the speakers will each discuss an aspect of this important topic following which the audience will have the opportunity to ask the panel questions.

We very much hope that you will be able to join members of XXIV Old Buildings for a drinks reception after the seminar.

The event is being held at the Old Hall, Lincoln’s Inn, London WC2A 3QB (https://www.lincolnsinn.org.uk/visit-us/) and is taking place on Thursday 28 November.

Registration will be from 6 p.m. with the talks starting promptly at 6.30 p.m.

Please register for the event below.

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PRA Enforcement Talk with Miles Bake

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6.30pm on Tuesday 16th July at Herbert Smith Freehills

On behalf of the Financial Services Lawyers Association and Herbert Smith Freehills, we invite you to attend a talk by Miles Bake, Head of Legal at the Regulatory Action Division of the PRA. 

The talk will take place on 16 July 2019 at Herbert Smith Freehills at 6:30pm, to be followed by drinks and networking. 

Miles will discuss the PRA’s approach to enforcement and give an overview of recent PRA enforcement actions and publications. This will include a discussion of recent changes to PRA policy, the impact of these changes on the PRA’s investigations/enforcement actions, as well as an outline of the challenges the PRA faces in these respects.

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FSLA Summer Drinks And Essay Prize Giving

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6.30pm on Tuesday 11th June at Norton Rose Fulbright

On behalf of the Financial Services Lawyers Association and Norton Rose Fulbright, we invite you to attend the prize giving for the annual essay competition followed by summer drinks, which (weather allowing) will be on Norton Rose Fulbright’s rooftop terrace overlooking the Thames.

The event takes place on 11 June 2019 at Norton Rose Fulbright from 6:30 p.m. with a short introductory talk on regulatory developments followed by prize-giving at 7 p.m.

The title of the essay competition is ““Senior people somehow manage to keep their fingerprints off the relevant documents”Is there now a fair and effective system of accountability for senior people in the financial services industry?” The Chris Stallard Memorial Prize (first prize) is a six-week internship with the FCA and £1,500. The runner up prize is £750. Third prize is £500.

FSLA is very grateful to the panel of judges for considering the entrants for this years competition, Professor Eva Lomnicka, Sir Ross Cranston and Upper Tribunal Judge Herrington.

We hope to see you on the 11 June 2019, please register below.

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Banking Litigation & Regulatory Enforcement: 10 Years Since the Financial Crisis

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6pm on Thursday 16th May at the Reform Club, Pall Mall

On behalf of the Financial Services Lawyers Association and 3 Verulam Buildings, we would like to invite you to attend a panel discussion on ‘Banking litigation and regulation: 10 years since the crisis’

The panel will be chaired by Adrian Beltrami QC, Joint Head of Chambers, 3VB, and is comprised of:

·         Stuart Alford QC, partner, Latham & Watkins and former Head of the Banking Fraud Division, the SFO
·         Caroline Binham, Financial Regulation Correspondent at Financial Times
·         Laura Durrant, partner, White & Case LLP and former Head of Litigation, Regulatory and Investigations, RBS plc
·         Rory Phillips QC, 3VB and Counsel for the FCA and the PRA in the bank ring-fencing transfer scheme cases
·         The Honourable Mr Justice Waksman, Judge of the Commercial Court, and formerly the Judge in charge of the London Circuit Commercial Court (the London Mercantile Court).

During the 90 minute seminar, the speakers will each look back at an aspect of the decade or so of ‘credit crunch’ litigation and the key regulatory events that arose out of the financial crisis of 2007-2008, following which  the audience will have an opportunity to ask the panel questions about their experiences.

The event is taking place in the Library of the Reform Club, 104 Pall Mall commencing at 6pm on Thursday 16th May 2019. Registration will be from 6pm with the talks starting promptly at 6.30pm. 

We very much hope that you will also be able to join members of 3VB for a drinks reception after the seminar.

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Trends in Enforcement – A FSLA and Blackstone Chambers Seminar, 7 March 2019

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On behalf of the Financial Services Lawyers Association (FSLA) and Blackstone Chambers, we would like to invite you to attend our annual ‘Trends in Enforcement’ seminar on Thursday 7 March, 6-8pm, to be followed by a drinks reception. We are very grateful to Sara George, Stephenson Harwood, for agreeing to chair our panel, which will include:

  • Elizabeth Barrett, Executive Counsel and Director of Enforcement, Financial Reporting Council
  • Andrew George QC, Blackstone Chambers
  • Javan Herberg QC, Blackstone Chambers
  • Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority

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. The seminar is being held at the Royal Society of Arts (RSA), 8 John Adam Street, London, WC2N 6EZ. Registration will be from 6pm with the talks starting promptly at 6.30pm. We very much hope that you will also be able to join members of Blackstone Chambers for a drinks reception after the seminar.

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Risks and Opportunities of a Hard Brexit

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On 21st January 2019, FSLA members are invited to attend an event considering risks and opportunities for the financial services industry in the event of a hard Brexit.*

The event will be chaired by Joanna Perkins, CEO of the Financial Markets Law Committee. Speakers are Thomas Donegan (Shearman & Sterling), Jonathan Herbst (Norton Rose Fulbright), Michael Kent (Linklaters) and Penny Miller (Simmons & Simmons).

FSLA Members please sign up for the event below. If you are not a FSLA member but would like to attend the event please contact treasurer@fsla.org.uk.

Location: Shearman & Sterling, 9 Appold Street, London, EC2A 2AP
Date: 21st January 2019
Start Time: 6pm

*In the event that Parliamentary events result in a hard Brexit no longer being a possibility prior to 21st January, the event will be cancelled or replaced with a more appropriate discussion.

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Does ENRC provide a panacea for corporate internal investigations – A FSLA and Linklaters Panel Discussion, 5 November 2018

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The Financial Services Lawyers Association and Linklaters LLP would like to invite you to attend a panel discussion on Monday 5 November 2018 to discuss the long-awaited Judgment of the Court of Appeal in ENRC that was handed down earlier this Autumn. The Court of Appeal’s decision raises several issues of real and practical importance to lawyers advising corporates and individuals involved in criminal and regulatory investigations.

The panel discussion will be chaired by Martyn Hopper (Partner, Linklaters) and attended by:

  • Therese Chambers, Director of Retail Investigations, Financial Conduct Authority
  • Richard Lissack QC, Fountain Court Chambers
  • Andrew Onslow QC, 3 Verulam Buildings
  • Judith Seddon, Partner, Ropes & Gray

The event will be held at Linklaters, One Silk Street, London EC2Y 8HQ. Registration and drinks will be open from 6pm, with the panel discussion starting at 6:30pm.

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