Regulation Tomorrow Podcast

In this month's podcast we take a look at what is coming ahead in a horizon scanning episode. We hear from Steven Howard in the US, who discusses the new regulation around private investment funds; Jon Ireland looks at the new corporate collective investment vehicle regime in Australia; Anna Carrier examines various developments in the EU, including changes to the prudential regime, MIFID and also DORA; and Sebastien Praicheux looks at sustainable finance and crowd funding in France. Simon Lovegrove opens the episode with a look at UK developments. 3:30 - Steve Howard (USA) 15:39 - Jon Ireland (Aus) 23:25 Anna Carrier (EU) 34:10 Sebastien Praicheux (Fra)

Exploring the lessons learned from enforcement cases on market manipulation, including layering, spoofing, and wash trading. Delving into different types of manipulative behavior such as wash trades, squeezes, and share ramping. Discussing indicators of manipulation and providing practical steps firms can take to prevent manipulation.

The podcast discusses market conduct issues, such as price impact of traders and monitoring for unusual trading patterns. They also talk about the Draft Economic Crime Transparency and Enforcement Bill 2022, which aims to prevent money laundering and increase transparency of beneficial ownership information for overseas entities that own land in the UK.

In this episode of RT Plus, Jonathan Herbst and Hannah Meakin discuss the FCA's consultation paper, CP22/2, Strengthening our financial promotion rules for high risk investments, including cryptoassets. This much anticipated paper looks to ameliorate the financial promotions regime to match the growth in consumers investing in high risk assets like cryptos. Jonathan and Hannah look at the current financial promotion regime and what is being proposed, including the three new categories of investment.

In this episode of RT Plus, Hannah Meakin and Albert Weatherill from the financial services team meet with Verity Quartermain, a specialist in technology disputes, to discuss the advertising of cryptos. The recent increase in advertising of cryptos and products offering cryptos has lead both the FCA and the Advertising Standards Agency to sit up and take notice. We discuss the implications for market participants

In the first of our Global podcasts - Regulation Around the World - we will take a look at how crypto assets are regulated in various jurisdictions around the globe. We hear from Etelka Bogardi in Hong Kong, Jeremy Wickens in Australia, Glen Barrentine in the USA, Albert Weatherill in the UK and Nikolai de Koning in the Netherlands. Etelka (Hong Kong) - 0:33 Jeremy (Australia) - 14:15 Glen (USA) - 27:12 Albert (UK) - 37:16 Nikolai (Netherlands)- 45:30

In this special episode of RT Plus we are delighted to be joined by the Payment Systems Regulator's Head of Legal, Carole Begent. We discuss the recent PSR investigation into cartels, the card acquirers market review and also the work undertaken by the PSR on scheme fees. We then take a look at the regulator's priorities going forward, including a discussion around how the PSR is tackling app scam liability.

In this episode of RT Plus, Katie Stephen, Co-Head of the Contentious Financial Services Group in London, is joined by Rebecca Dulieu, Senior Associate, to discuss the FCA's recent Policy Statement on issuing statutory notices, under which the FCA is reforming its decision-making process. Katie and Rebecca discuss the key changes brought in by the Statement, their views on these and their thoughts for firms and individuals potentially impacted.

Compliance Manager, Victoria Pridmore, returns to explain what the ICARA process is and what firms should be doing to meet the requirements. She discusses the ICARA process itself, the ICARA document and issues around whether group or consolidated ICARAs are required.

In this special episode of RT Plus, Head of Risk Consulting for EMEA, Lisa Lee Lewis, is joined by Compliance Manager, Victoria Pridmore, to discuss the FCA's authorisation process. They look at different types of authorisation, the latest updates from the FCA on this subject, before walking through a typical authorisation, step by step.