Regulation Tomorrow Podcast

In this latest RT Plus podcast Simon Lovegrove, Peter Snowdon and Matthew Gregory discuss the FCA’s recent discussion paper setting out proposals to change the financial promotion rules for high-risk investments (FCA DP21/1).

In this episode of RT Plus we hear from Peter Snowdon, Imogen Garner, John Coley and Matthew Gregory as they discuss the recent speech given by FCA Chairman, Charles Randell, on outcomes based regulation.

In this episode of RT Plus, Peter Snowdon and Matthew Gregory speak to Simon Lovegrove about the recent FCA consultation paper, CP21/13, on proposals for a new Consumer Duty in financial services.

In this month's podcast we speak to Celia Cohen in New York about recent enforcement trends in the US, with a focus on whistle-blowing; we hear from Anna Carrier in Brussels who discusses the new European commodities regime and we are delighted to welcome Jeffrey Mushens from the trade body, TISA, who will be discussing MiFID costs and charges with Matthew Gregory and Joe Bamford from our London office.

Hosts discuss the FCA's consultation paper proposing changes to UK MIFID's conduct and organisational requirements. Topics include research in post-Brexit UK, exemptions for certain types of research, fixed income research, independent research providers, openly available material, exemption for SME research, and proposal to remove obligations on best execution reporting.

In this episode of RT Plus, we shine a spotlight on product governance. The FCA recently published a review into product governance under MiFiD 2, giving some wide ranging recommendations to authorised fund managers that will also be of relevance to MiFID investment firms more broadly; while at European level, we have seen firms transitioning to interim version 3.1 of the European MiFID template (or EMT), published on 12 February, with an aim to assist compliance with level 1 of the EU Sustainable Finance Disclosure Regulation (known as the SFDR). With all of this taking place, we thought it would be a good opportunity to shine a spotlight on this regulatory hot topic, as we host a chat with Katie Stephen, John Coley, Iona Wright and Iain Hawthorn.

This month we begin with a look at the Woolard Review in the UK with Matthew Gregory, who focusses on the implications for the buy-now-pay-later sector. Kevin Harnisch, a partner in our Washington DC office, gives an update on SEC actions relating to environmental social governance, and we close with a chat with Claudine Salameh from Sydney, who discusses the upcoming regulatory reform storm set to hit Australia’s shores later this year.

Discussion on FCA's whistleblowing campaign and firm culture. Importance of effective procedures and consequences of failure. Tips for dealing with disclosures: take them seriously, follow internal processes, provide support, engage senior management, conduct independent reviews.

In this month's show we will be looking at ESG initiatives in Hong Kong with Etelka Bogardi, Albert Weatherill is joined by Hannah Meakin to provide an extended fintech update, including a look at the Khalifa Review; and Mayling Blanco from our New York office gives an update on enforcement actions brought by the Department of Justice in the US.

Welcome to our first episode of Regulation Tomorrow Plus - the spin off podcast from the Regulation Tomorrow Podcast. Regulation Tomorrow Plus is shorter, sharper and more reactive - released as and when news or publications are issued. In this opening episode, John Coley and Iain Hawthorn take us through the NRF Conduct Healthcheck and the related summary report, which is published later this week.