The financial services market is braced for a period of considerable transition. In 2013, the FSA will be replaced by two new regulatory bodies, The Prudential Regulation Authority (the PRA), and The Financial Conduct Authority (the FCA), who will continue the FSA’s policies of outcomes-based regulation, intensive firm supervision and credible deterrence. But will this provide a panacea for the markets and restore confidence in the financial system?
Our 2012 webinars series will examine all the legal and regulatory developments, both implemented and proposed, and offer topical tips and practical guidance on best practice.
Forthcoming Webinars
Here is the schedule of forthcoming webinars for this practice area.
On Demand Webinars
Here is a list of previously broadcast webinars that are now available on demand.
14th Feb 2011
AIFM Directive
This webinar covers:
• Scope and current status of the Directive
• Marketing AIFs
• Conduct of business requirements for AIFMDs
• Conflicts of interest and risk management
• Remuneration - extension of scope of FSA code?
• Appointment of independent depositary - issues for structuring
• Short selling
• Acquiring control of companies - directive requirements
11th Mar 2011
Regulatory Restructuring in the UK
This webinar covers:
- A reorganisation of the UK's regulatory architecture
- Gaps, overlaps, tensions and ambiguities
- Practical issues for firms and management
- Observations on the future direction of regulatory policy-making
3rd May 2011
Corporate Governance for Financial Services Businesses
This webinar will cover:
• Recommendations following the financial crisis
• FSA control of senior management
• Key corporate governance issues in practice
• The European dimension
• Approved persons
• Governance culture
5th Jul 2011
Arrow Visits
This webinar will cover:
• Preparing for the visit: logistics and staff preparation
• What to do/not do during the visit itself
• Actions following the visit
• Hot topics for FSA visits
• The FSA’s risk-assessment framework: What is ARROW?
• Overview of the ARROW framework
• The ARROW risk model
• How the FSA uses ARROW to assess the risk in firms (including jurisdiction and territorial scope)
28th Sep 2011
Money Laundering - Developments
This webinar will cover:
• Enforcement action
- Regulatory
- Criminal
• Regulatory developments
• Practical tips
• The future
24th Nov 2011
The Liquidity Regime – One Year On
This webinar will cover:
• The liquidity buffer and current developments
• Liquidity modification waivers and the process to obtain one
• Developing the liquidity tolerance policy
6th Dec 2011
Market Abuse and Insider Trading
This webinar will cover:
• Hot topics in the market abuse regime
• Lessons to be learned from recent market abuse and insider dealing cases
• Implications of the FSA's tougher strategy, stronger powers and tougher penalties
• The future – prosecutions under the new regulatory structure
