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

100 days of the Consumer Duty

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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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Recent Developments and Future Trends in the Regulation of Cryptoassets

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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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The Bank of England’s Approach to Enforcement

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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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Non-Financial Misconduct Training Session

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

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

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

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

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

Date: 27 April 2023

Timings:

·       6 pm – registration

·       6.30 pm – session starts

·       7.30 pm – networking

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FSLA and Blackstone Chambers Trends in Enforcement Seminar

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

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

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

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

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

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

Please register for the event below.

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

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

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

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

The event panel will include:

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

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

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

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

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

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

We look forward to seeing you on 3 May 2023.

FSLA – Equality, Diversity and Inclusion Sub-Committee

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

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

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

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

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

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

Date: Thursday 26 January 2023

Timings:

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

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

We look forward to seeing you on 26 January 2023.

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

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

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

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

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

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

If wish to register, please use the link below.

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

We look forward to seeing you on 30 November.

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Financial Crime Regulation and Enforcement: from cash to crypto

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

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

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

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

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

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

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

Members can register for the event at the link below.

We look forward to seeing you on 1 November.

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

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

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

We are delighted to welcome our panel:

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

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

We look forward to welcoming you on 29 July.

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Membership Benefits

We have three categories of FSLA membership:

  • Corporate (£400)
  • Individual (£40)
  • Student (free)
Contact us to become a member

We will be happy to provide further details about the best form of membership for you or your organisation.

Students applying for membership are asked to email from a University email address.

FSLA events are only open to members who have had their applications approved and payment received.