Are you prepared for coming regulatory change?
The financial services sector is set to face a series of regulatory changes in the coming months, so are you prepared for them?
Our upcoming seminar will examine potential liabilities arising from coming regulatory change and suggest protective measures that you can take.
Our team of regulatory experts will cover:
- Personal liability: We will examine the increasing scope of personal liability for individuals within regulated firms and question how far firms should defend their employees when they are faced by regulatory action
- Product liability: MiFID II continues the trend of removing the boundaries of direct contractual liability. What can firms do to protect themselves against action from other firms and from consumers?
- Is it an alternative investment fund? We explore the pitfalls to be aware of when structuring investment vehicles
Date/Time: 28 September 2017 / 17:30 - 20:00
News & Insights
FCA proposing to tighten up rules for loan-based crowdfunding platforms
Later this year, the FCA is due to publish its policy statement on the changes to the regulatory framework for crowdfunding platforms.
Financial Conduct Authority consults on increasing the award for the Financial Ombudsman Service
The Financial Conduct Authority (FCA) is consulting on increasing the award limit for the Financial Ombudsman Service (FOS).
Tackling the risks of the FinTech boom - AML considerations
While FinTech services like cryptoassets can create significant opportunities, they also pose considerable regulatory challenges.