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
Toolkit for the new Senior Managers and Certification Regime
Vanessa Walters sets out some of the key principles of the regime and how FCA regulated firms can best prepare for it.
Initial Coin Offerings - an unregulated minefield
Jamie Cartwright and Thomas Plowman explore the largely unregulated minefield of Initial Coin Offerings and the potential for litigation.