The open exchange of views and the dissemination of knowledge
and ideas relating to financial services law and regulation.

2 March 2026
0

FSLA & Blackstone Chambers Event: Trends in Enforcement Seminar

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

Blackstone Chambers, in partnership with the Financial Services Lawyers Association (FSLA), is pleased to invite you to its annual ‘Trends in Enforcement’ seminar and reception on Tuesday, 10 March at The IET Savoy Place, 2 Savoy Place, WC2R 0BL. 

Due to significant demand the venue’s capacity has been increased, allowing members who were unable to secure tickets previously to do so now. 

The seminar will feature a panel discussion chaired by Javan Herberg KC of Blackstone Chambers, with contributions from:

Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, Financial Conduct Authority
Andrew George KC, Blackstone Chambers
Gayathri Kamalanathan, Partner, Disputes and Investigations Group, Slaughter and May 
Sinead Murray, General Counsel, Ofgem

Registration will commence at 6.15pm, with the seminar beginning promptly at 6.40pm. The 90-minute session will explore current approaches to some of the most challenging enforcement issues facing practitioners in the financial services sector, followed by an audience Q&A.

A drinks and canapé reception will follow from 8.10pm, to which members of Blackstone Chambers warmly invite you.

This is an in-person event, please email events@blackstonechambers.com to register your ticket if you have not already done so. 

Alternatively, if you wish to join virtually, kindly email events@blackstonechambers.com, and a link will be provided during the week of the seminar.

We very much hope you will be able to join us and look forward to welcoming you on Tuesday, 10 March. For any further queries or specific requirements, please contact the events team at events@blackstonechambers.com.

23 February 2026
0

FSLA Event: Gender Equality in Financial Services, Law and Beyond

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

FSLA, Fox Williams and 3VB Seminar in support of IWD 2026

On behalf of the Financial Services Lawyers Association, we invite you to attend our inaugural IWD event. Join us for a fireside chat with the fantastic Mary Ann Sieghart, author of the highly acclaimed book “The Authority Gap”.  Mary Ann will explain the Authority Gap, why it exists and what can be done to resolve it. This will be followed by a panel discussion with leading lawyers from across the FS and legal community, exploring how these issues impact our industry and the challenges we continue to face in delivering on the ED&I agenda.  

Speakers: 

Guest Speaker:  Mary Ann Sieghart, author of “The Authority Gap”

Saima Hanif KC – Barrister at 3VB

Sona Ganatra – Partner, Co‑Head of Financial Services Regulatory at Fox Williams

Daniel Winterfeldt MBE KC – former General Counsel (EMEA and Asia), Jefferies and Founder and Co-Chair of the InterLaw Diversity Forum

Sarah Peazer-Davies – General Counsel & Company Secretary, Close Brothers

Date: Tuesday 24 March 2026

The discussion will be followed by a networking event which is open to all attendees. 

Registration: Places to attend this event will be limited, so please register early to avoid disappointment – if you would like to attend or if you have any queries or special requirements, please contact us at fslalondon@gmail.com

This is an in-person event only.

Registration will be open from 6pm, with the event starting at 6:30pm.

Venue: Fox Williams LLP

            10 Finsbury Square

            London EC2A 1AF

5 February 2026
0

FSLA Essay Competition 2026

By | Events, Junior Lawyers, Students | No Comments

FSLA Essay Competition 2026


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


The title for this year’s competition is:
“Streamlining regulation for international growth and innovation: a legal perspective.”


The purpose of the essay competition is to provide students, trainees, and pupil barristers 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, and the deadline for entries is
midnight on 20 March 2026.


Prizes
The Chris Stallard Memorial (First) Prize: £1,500 and a legal internship at the FCA
Second Prize: £750 Third prize: £500


We hope to present the prizes at FSLA’s summer social event.


Eligibility and rules
There is no requirement that entrants be FSLA members; however, free membership
is offered to all students. Please email fslalondon@gmail.com for further details.

The full rules for the competition, including submission details and terms applying to the
prizes, can be found here.

13 January 2026
0

FSLA and Fountain Court Event: Individual Accountability: The regulator, the regime and the individual

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

FSLA and Fountain Court panel discussion at Macfarlanes LLP on Tuesday 10 February 2026 at 6:30pm

On behalf of the Financial Services Lawyers Association and Fountain Court, we invite you to attend a panel event which seeks to explore regulators approach to Individual Accountability. The panel discussion will consider recent high-profile regulatory actions pursued against senior managers, the FCA’s long awaited Policy Statement which provides guidance on the Non-Financial Misconduct Rules and explore some of the practical challenges firms (and individuals) might face as we prepare for implementation from September 2026 (for non-banks). Chatham House Rule will apply.

The panel will be chaired by Zeena Saleh of Dentons and include (with more speakers still to be confirmed):

  • Peter Curtis-Valino, Cross-Cutting Policy, FCA. Peter leads the cross-cutting policy team at the FCA responsible for recent publications on non-financial misconduct and the Senior Managers & Certification Regime
  • Leigh-Ann Mulcahy KC, Fountain Court – Leigh-Ann appeared on behalf of the FCA to secure a landmark victory in respect of non-financial misconduct in which the Upper Tribunal upheld the FCA’s decision to prohibit and fine the former CEO of Barclays, Jes Staley. Leigh-Ann is a leading silk and arbitrator specialising in insurance & reinsurance, financial services and group litigation.
  • Laura Bridgewater, Macfarlanes LLP– Laura regularly advises both senior executives and financial institutions on contentious matters relating to individual accountability (both financial misconduct and non-financial misconduct) and has particular expertise in parallel employment disputes.

The discussion will be followed by a networking event which is open to all attendees. 

The event will be hosted at Macfarlanes LLP at 20 Cursitor Street, London, EC4A 1LT.

If you would like to attend or if you have any queries or special requirements, please contact us at fslalondon@gmail.com

Timings:

Registration: 6pm

Panel discussion: 6:30pm

Drinks and networking reception: 7:30-9pm

6 January 2026
0

FSLA Event: Growth and Innovation in Capital Markets

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

On behalf of the Financial Services Lawyers Association, we invite you to attend a panel event which explores growth and innovation in capital markets. The Draghi Report underlines a negative prognosis for future growth across all European economies. That makes capital raising options more important than ever. Encouragingly the UK regulators offer a range of pioneering ways forward, including sandboxes, PISCES (platforms for trading private company shares), and scale up units.

Under Chatham House rules a distinguished panel of investment bank, trading platform providers, FCA, and PRA directors will briefly summarise then discuss these initiatives. The discussion will be followed by a networking event which is open to all attendees.

Location: Slaughter and May, One Bunhill Row, London, EC1Y 8YY

Registration: Places to attend this event will be limited to 60, so please register early to avoid disappointment.

Date: Thursday 5th February 2026

Timings:

Registration: 6 – 6:30pm

Discussion: 6:30 – 7:30pm

Drinks: 7:30 – 8:30pm


If you would like to attend or you have any queries or special requirements, please contact us at fslalondon@gmail.com

Event access / security: Upon arrival, please check-in with the reception who will direct you to our event space. Please note that all visitors will be required to present government issued photo identification.

5 January 2026
0

FSLA, Pinsent Masons and 3VB Event: Supervisory Powers in the FCA and the Upper Tribunal

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

We are pleased to announce a semniar hosted by FSLA, Pinsent Masons and 3VB: Supervisory Powers in the FCA and the Upper Tribunal.

A panel of expert speakers from 3VB, Pinsent Masons and the FCA will present a panel discussion on the FCA’s focus on assertive supervision, including the range of supervisory powers available to the FCA and what firms can do to challenge supervisory interventions in the Upper Tribunal.
 
Speakers:
Saima Hanif KC – Barrister at 3VB
Jonathan Cavill – Partner at Pinsent Masons
Lauren Rafter – Head of Litigation and Legal Review at the FCA
Adam Temple – Barrister at 3VB
 
Date: Tuesday 20th January 2026
 
Venue: Pinsent Masons, 30 Crown Place, Earl Street, London, EC2A 4ES
 
Timings:

18:00 – 18:30Registration
18:30 – 19:45Session followed by Q&A
19:45 – 20:45Drinks & Networking

 
If you wish to attend the event or have any queries or special requirements, please contact events@3vb.com

5 September 2025
0

FSLA Academy Event – Market Abuse and Associated FCA Investigations

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

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 “Market 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.

11 August 2025
0

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

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

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

14 May 2025
0

Annual General Meeting 2025

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

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
31 March 2025
0

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

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

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.

24 February 2025
0

FSLA Response to FCA CP24/2 Part 2

By | Financial Services Practitioners | No Comments

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.

18 February 2025
0

Pathways into Financial Services and Regulatory Law

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

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!

30 January 2025
0

Recent Developments and Future Trends in the Regulation of Cryptoassets

By | Events | No Comments

Taking place at DAC Beachcroft LLP, 25 Walbrook, City of London, London EC4N 8AF

On behalf of the Financial Services Lawyers Association (FSLA),  DAC Beachcroft LLP and Outer Temple Chambers would like to invite you to attend our in-person event on Recent Developments and Future Trends in the Regulation of Cryptoassets to be held on Tuesday, 18 February 2025 from 5.45pm to 8pm.

The panel event will feature the following speakers:

  • Victoria McLoughlin, Head of Department – Market Interventions (Digital Assets) at the Financial Conduct Authority;
  • Katie Fry-Paul, Senior Legal Counsel at Coinbase;
  • Justina Stewart, Barrister at Outer Temple Chambers; and 
  • Steve Elam, Partner at Cooke Young & Keidan LLP. 

The 1 hour event will focus on the latest developments, future trends and areas of concern in the fast-evolving and increasingly topical field of cryptoasset regulation. We expect that it will be of interest to all financial services lawyers of all levels of PQE. It will conclude with an audience Q&A session that will finish by 7.30pm and shall be held pursuant to the Chatham House Rule.  


Venue: 25 Walbrook, City of London, London EC4N 8AF


Date:    Tuesday 18 February 2025

Time:    5.45pm – Registration

             6.15pm – Introduction, panel discussion and Q&A

             7.30pm – Drinks 

Please use the link here to register for the event.

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

16 January 2025
0

The FSLA and Blackstone Chambers Trends in Enforcement Seminar

By | Events, Financial Services Practitioners | No Comments

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.

8 January 2025
0

Breakfast roundtable: FCA Transparency of Enforcement Investigations

By | Events | No Comments

A FSLA in-person roundtable to discuss the FCA’s amended proposals for greater transparency of enforcement investigations (CP24/2 Part 2) on Wednesday 22nd January 2025 from 8am to 10am hosted by Mishcon de Reya.

On behalf of the Financial Services Lawyers Association, we would like to invite you to attend an in-person roundtable event on the FCA’s amended proposals to “Greater Transparency of our Enforcement investigations” (CP24/2 Part 2), as published on 28 November 2024.

Therese Chambers, joint Executive Director of Enforcement and Market Oversight at the FCA, has stated: “We have heard the strength of feedback to our original proposals, and we are making changes as a result”. This roundtable will examine the FCA’s amended proposals in more detail and explore the case studies outlined by the consultation paper.

The session will be hosted by Mishcon de Reya and chaired by Javan Herberg KC of Blackstone Chambers (with further speakers to be confirmed in due course).

This is an in-person event only. The event will be hosted at Mishcon de Reya’s London office at Africa House, 70 Kingsway, London, WC2B 6AH. Registration will open at 8am with refreshments with the roundtable commencing at 8:30am.

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

If you would like to attend the event, please register here. Please note this is a small event and we may therefore need to limit attendance to one representative per firm/chambers.

We look forward to seeing you on 22nd January 2025.

16 December 2024
0

Modernising the Redress System – A FSLA and Ashurst Event

By | Events, Financial Services Practitioners | No Comments

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.

Read More
11 December 2024
3

Winners of the FSLA Essay Competition 2024

By | Junior Lawyers, Students | No Comments

We are delighted to announce the winners of the FSLA Essay Competition 2024.  The title for this year’s competition was: “With the rise of so-called “finfluencers”, how can the FCA and its international counterparts effectively protect younger consumers from high-risk investments such as cryptoassets and contracts for difference?”

Congratulations to Daniel Feltham, our first placed essayist and winner of the Chris Stallard Memorial Prize, and to second-placed Sessi Hundeyin and third-placed Charlie Lam.

We are grateful to our esteemed judging panel, (Professor Eva Lomnicka KC (hon), Travers Smith partner Phil Bartram, and Tracey McDermott, CBE (Group Head of Conduct, Financial Crime and Compliance at Standard Chartered)), who were impressed with the standard of entries across the board. 

FSLA is grateful to all of the individuals who entered their work.

The top three essays are available to read at the link below, with thanks to our winners who allowed us to share them.

https://drive.google.com/drive/folders/1Z2V-v7H3PVTovBg57Ee2jBNYZz4tgO8-?usp=sharing

18 November 2024
1

FSLA Christmas Party 2024

By | Events, Financial Services Practitioners | No Comments

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.

Read More
3 September 2024
0

Upcoming FSLA Academy events

By | Events, Junior Lawyers | No Comments

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 “FCA enforcement: misconduct and lack of fitness and propriety”.

The series will provide a detailed but practical guide to the FCA’s powers to investigate and impose sanctions on individuals in relation to misconduct and lack of fitness and propriety. It will deal with issues that may be faced by firms and individuals following the identification of a potentially significant regulatory issue all the way through to an FCA decision to impose a sanction and the options then available.

The series will consist of three sessions:

  1. Misconduct and lack of fitness and propriety – the scope and meaning of the terms and the circumstances in which the FCA can take action in relation to them
  2. The pre-FCA investigation stage – how a firm should go about investigating a potentially significant regulatory issue and the consequences of that for an individual
  3. The FCA enforcement process – an overview covering the opening of an investigation through to the conclusion of any enforcement proceedings

The sessions will be led by Ian Weinstein and Chloë Kealey of Brown Rudnick’s Contentious Financial Services Team and build upon the contents of their recently published book on the subject. Ian and Chloë will be joined by a different barrister or in-house practitioner 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 24 September – Session 1: Misconduct and lack of fitness and propriety
  2. Tuesday 15 October – Session 2: The pre-FCA investigation stage
  3. Tuesday 5 November – Session 3: The FCA enforcement process


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, please register here. Please note that, by submitting this form, you are registering your interest in attending the FSLA Academy training sessions. This is not an acceptance or confirmation of any place.

If you have any queries or special requirements, please contact us at fslalondon@gmail.com.

30 August 2024
0

The FCA in the High Court – The FSLA & 3VB Seminar 2024

By | Events | No Comments

3VB & FSLA are pleased to present a panel discussion on FCA involvement in High Court litigation, including its pursuit of restitution and other orders under FSMA, its business interruption claim in FCA v Arch [2021] UKSC 1, and the FCA as a defendant in claims for judicial review.

Chaired by Saima Hanif KC, who will be joined by panellists:

  • Lauren Rafter – Head of Department in the Enforcement and Market Oversight Division of the Financial Conduct Authority
  • Sarah McNally – Partner at Herbert Smith Freehills
  • Caroline Hunter-Yeats – Partner at Simmons & Simmons
  • Adam Temple – Barrister at 3VB

Date:   Thursday 19th September 2024
Time:   
6:00pm: Registration
6:30pm – 7:30pm: Seminar
7:30pm – 9:00pm: Drinks Reception
Venue: Lecture Theatre, Inner Temple, Crown Office Row, London, EC4Y 7HL
RSVP:
Click here to register for a virtual place
Click here to register for an in-person place

If you have any queries or special requirements, please email at fslalondon@gmail.com

29 August 2024
2

FSLA Essay Competition 2024

By | Events, Junior Lawyers, Students | No Comments

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

The title for this year’s competition is: “With the rise of so-called “finfluencers”, how can the FCA and its international counterparts effectively protect younger consumers from high-risk investments such as cryptoassets and contracts for difference?”

The purpose of the essay competition is to provide students, trainees, and pupil barristers 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, and the deadline for entries is midnight on Friday 11 October 2024.

Prizes

The Chris Stallard Memorial (First) Prize: £1,500 and a legal internship at the FCA Second Prize: £750 Third prize: £500

We hope to present the prizes at FSLA’s winter social event.  In any case, winners will be notified by the end of 2024.

There is no requirement that entrants be FSLA members; however, free membership is offered to all students.  Please email fslalondon@gmail.com for further details. The full rules for the competition, including submission details and terms applying to the prizes, can be found here.

16 May 2024
0

FSLA responds to the FCA’s Consultation Paper CP24/2

By | Events | No Comments

FSLA has submitted a response to the FCA’s Consultation Paper CP24/2 titled “Our Enforcement Guide and publicising enforcement investigations – a new approach”.  FSLA considers that the FCA’s proposal to identify investigation subjects (whether firms or individuals) at the commencement of an enforcement investigation where it is in the public interest to do so, may not deliver on the FCA’s stated objectives namely: to build trust and show the public that the FCA is “on the case”; to educate and deter by being clearer about the types of misconduct which will warrant a formal investigation; and to improve accountability of the FCA by shining a light on the efficiency and pace of its investigations. Our response examines the significant legal and practical challenges which the FCA may face as a result of such a fundamental policy shift and explores some alternative approaches which could enable the FCA to achieve its aims in a proportionate manner which balances the public interest and consumer protection with the irreparable harm which could be caused to investigation subjects (especially where over 60% of investigations are closed with no enforcement action being taken).

Please note: The response as 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 Regulatory Authority) or any other regulatory bodies.

3 May 2024
0

What can ED&I deliver for financial services?

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

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

23 December 2023
0

Essay Competition 2023: Winners

By | Students | No Comments

Winners of the FSLA Essay Competition 2023

We are delighted to announce the winners of the FSLA Essay Competition 2023.  The title was: “Can the risks and opportunities of AI in financial services be managed by fine-tuning existing regulation, or is a new approach required?“ 

Congratulations to Ella Higgs-Sharrock, our first placed essayist and winner of the Chris Stallard Memorial Prize.  Ella will receive £1,500 and a legal internship with the FCA.

Many congratulations also to second placed Francesca Jackson (winning £750), and third placed Hubert Florianczyk (winning £500).

We are grateful to our esteemed judging panel, (Professor Eva Lomnicka KC (hon), recently retired Upper Tribunal Judge Tim Herrington, and Tracey McDermott, CBE (Group Head of Conduct, Financial Crime and Compliance at Standard Chartered)), who were impressed with the standard of entries across the board. 

FSLA is grateful to all of the individuals who entered their work.

The top three essays are available to read at the links below, with thanks to our winners who allowed us to share them.

https://drive.google.com/drive/folders/12Ufb8Kzx9238I8GclbEBwDDUb0_dphTO?usp=drive_link

21 October 2023
0

100 days of the Consumer Duty

By | Events | No Comments

FSLA panel discussion at Fox Williams on Wednesday 8 November 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 and reflect on the first 100 days of the FCA’s new Consumer Duty – a duty which signals a significant shift in the FCA’s expectations and seeks to impose higher and clearer standards for consumer protection across financial services and requires firms to act to deliver good outcomes for customers.

The panel shall examine the success stories and challenges faced by firms and practitioners tasked with delivering the Consumer Duty and offer some lessons learned for the future.   

The event panel will include:

  • Peter Finch – Partner in the Financial Services and FinTech team at Fox Williams LLP  
  • Rebecca Irving – Head of Regulatory Legal, Close Brothers Bank and formerly of the FCA
  • Mark Turner – Head of Regulatory Consulting, Kroll

The discussion will be followed by a networking event which is open to all attendees.  

The event will be hosted at Fox Williams LLP at 10 Finsbury Square, London, EC2A 1AF.  

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. 

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3 October 2023
0

Recent Developments and Future Trends in the Regulation of Cryptoassets

By | Events | No Comments

Tuesday 24 October 2023 at 5.45pm

Taking place at Taylor Wessing LLP, 5 New St Square, London EC4A 3TW

On behalf of the Financial Services Lawyers Association (FSLA), Taylor Wessing LLP and Outer Temple Chambers would like to invite you to attend our in-person event on Recent Developments and Future Trends in the Regulation of Cryptoassets to held on Tuesday, 24 October 2023 from 5.45pm to 8pm.

The panel event will feature the following speakers:

  • Victoria McLoughlin, Interim Head of Digital Assets Department at the Financial Conduct Authority 
  • Charlotte Hill, Partner and Head of Financial Services Regulation and Fintech at Taylor Wessing LLP 
  • Justina Stewart, Barrister at Outer Temple Chambers 
  • Ijeoma Okoli, Co-Director at the Digital Economy Initiative and Strategic Adviser, Digital Assets

The 1 hour event will focus on the latest developments, future trends and areas of concern in the fast-evolving and increasingly topical field of cryptoasset regulation. We expect that it will be of interest to all financial services lawyers of all levels of PQE. It will conclude with an audience Q&A session that will finish by 7.30pm and shall be held pursuant to the Chatham House Rule.  


Venue: Taylor Wessing LLP, 5 New St Square, London EC4A 3TW


Date:    Tuesday 24 October 2023

Time:     5.45pm – Registration

               6.15pm – Introduction, panel discussion and Q&A

               7.30pm – Drinks 

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4 July 2023
4

FSLA Essay Competition 2023

By | Junior Lawyers, Students | No Comments

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

The title for this year’s competition is: “Can the risks and opportunities of AI in financial services be managed by fine-tuning existing regulation, or is a new approach required?“

The purpose of the essay competition is to provide students, trainees, and pupil barristers 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, and the deadline for entries is midnight on Friday 6 October 2023.

Prizes

The Chris Stallard Memorial (First) Prize: £1,500 and a legal internship at the FCA

Second Prize: £750

Third prize: £500

We hope to present the prizes at FSLA’s winter social event.  In any case, winners will be notified by the end of 2023.

There is no requirement that entrants be FSLA members; however, free membership is offered to all students.  Please email fslalondon@gmail.com for further details.

The full rules for the competition, including submission details, can be found here.

13 June 2023
0

The Bank of England’s Approach to Enforcement

By | Events | No Comments

Tuesday 20 June 2023 at 6pm

Taking place at The Law Society, 113 Chancery Lane, London WC2A 1PL

Members are invited to join Olie Dearie, Head of the Enforcement and Litigation Division at the Bank of England, for a discussion on the proposed changes to their enforcement policies. The changes – which are subject to consultation – are designed to create a single statement of policy identifying the various enforcement policies and procedures across its remit.

This will contain an updated version of the ‘PRA Approach to Enforcement’, as well as signposting the Bank’s other enforcement policies relating to financial market infrastructures, banknotes and in the context of the special resolution regime. The consultation also includes changes which are designed to facilitate earlier cooperation by subjects and faster investigatory outcomes, including via the introduction of an ‘Early Account Scheme’ and a revised approach to calculating the starting point for penalties for firms.
 
Agenda:

  • Introduction by Farhaz Khan KC, 3VB
  • Keynote speech by Olie Dearie, BoE
  • Q&A led by Andrew Spink KC, Outer Temple Chambers
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6 April 2023
0

Non-Financial Misconduct Training Session

By | Events | No Comments

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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16 January 2023
0

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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3 January 2023
0

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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16 December 2022
0

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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26 October 2022
0

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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30 August 2022
1

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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12 July 2022
0

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

By | Events, Financial Services Practitioners | No Comments

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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13 June 2022
10

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

18 May 2022
0

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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21 April 2022
0

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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29 March 2022
0

Group Litigation in Financial Services – A FSLA and 3VB Seminar

By | Events, Financial Services Practitioners | No Comments

A FSLA and 3 Verulam Buildings seminar on Tuesday 3rd May at the Reform Club and online

On behalf of the Financial Services Lawyers Association and 3VB we would like to invite you to attend our forthcoming event on Group Litigation in Financial Services.

Chaired by Peter de Verneuil Smith QC of 3VB, with speakers from:

  • Lisa Lacob of 3VB
  • Matthew Marsh, Former Chief Master in the Chancery Division, now Mediator and Arbitrator at Three Stone Chambers
  • Andrew Hill, Partner at Fox Williams LLP
  • Chris Bushell, Partner at Herbert Smith Freehills LLP

The seminar will discuss legal and practical issues around group litigation in the financial services context, followed by an opportunity for the audience to ask questions.

This is both an in-person and online event, which will be taking place at the The Reform Club, 104 Pall Mall, St. James’s, London, SW1Y 5EW. Registration will open at 5:30pm, with the seminar commencing at 6pm. Please choose how you would like to attend using the ticket options below.

Members of 3VB would be pleased if you would join them and the panellists for a drinks reception following the seminar.

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

We look forward to seeing you on 3 May.

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18 March 2022
0

FSLA Junior Lawyers: Introduction to Market Abuse – training session with Herbert Smith Freehills and junior networking

By | Events, Junior Lawyers, Students | No Comments

A FSLA Juniors Lawyers’ training session and networking drinks at 6:30pm at Herbert Smith Freehills and online on Tuesday 19th April 2022

On behalf of the Financial Services Lawyers Association (FSLA) and Herbert Smith Freehills (HSF), we invite our junior members (students and those with less than 5 years’ post-qualification experience) to attend an introductory training session on market abuse conducted by Chris Ninan, Natasha Stevens, and Alexandra Fitzgerald from HSF.

The session will provide 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 presentation will be followed by drinks and canapés, giving our junior members the chance to re-connect in an informal and relaxed setting.

The event will take place at HSF’s offices (Exchange House, Primrose Street, EC2A 2EG) on Tuesday 19 April. Registration will be open from 6pm and the presentation will start at 6:30pm, followed by drinks at 7:30pm. The presentation will also be available to view live online – please see the below RSVP options.

If you wish to attend, whether in-person or virtually, please register via the applicable link below. If you select virtual attendance, you will be sent a link a few days beforehand. Please provide your RSVP for in-person attendance by Monday 11 April. If you have any queries or special requirements, please contact us at events@fsla.org.uk.

We look forward to seeing you on 19 April.

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“I am convinced that, when it comes to tackling both the international financial crisis and the European sovereign debt crisis, it cannot simply be enough just to try to survive them somehow. We must set our sights higher. Our aim must be to come out of the crises stronger than we were at the start, because it is a matter of upholding our values and interests worldwide.”

(Angela Merkel)