Features

Individual accountability and the SMCR: a portent of success for the FCA's new Consumer Duty?

Similarities between the FCA’s introduction of the Senior Managers and Certification Regime, and current proposals for a consumer duty, may be a harbinger of success for the latter, writes Jenny Stainsby, the head of Herbert Smith Freehills’ global financial services regulatory practice.

12 January 2022

Are tokens securities?

Despite their growing popularity as an investment, the United States’ financial regulators are yet to implement a regulatory structure around digital assets. What is taking so long?

08 November 2021

The Consultation: GBRR meets Philippa Allen, CEO of ComplianceAsia

“AML is never off the agenda.” In the first of our series of interviews with key figures from the consultancy world, GBRR sat down with Philippa Allen, CEO of Asia-focused compliance consulting firm ComplianceAsia.

01 November 2021

Two brave new AML/CTF worlds

With the UK and EU issuing new AML/CTF packages within days of one another over the summer, Anna Bradshaw, partner at Peters & Peters in London, warns banks to prepare for ever more complexity.

18 October 2021

Heads Up: with Damian Carolan at Allen & Overy – Part 2

“There’s an open question of what is the right structural model for regulation and policymaking in the UK.” In the second of GBRR’s two-part interview with Allen & Overy’s UK head of financial regulation Damian Carolan, we discuss distributed ledger technology, Brexit, ESG, and the drivers of regulatory divergence around the world.

13 October 2021

Heads Up: with Damian Carolan at Allen & Overy

“There are not a lot of people who are cut out for this”: In the first of a two-part interview with A&O’s UK head of financial regulation Damian Carolan, he discusses innovation, the importance of a global network, and what he thinks marks out the top-tier regulatory practices from the also-rans.

07 October 2021

Heads Up: with Linklaters’ Peter Bevan

“I think we will begin to see a fair degree of divergence”: In the first of GBRR’s "Heads Up" series, profiling the heads of banking regulatory practices, we sat down with Linklaters’ global head of financial regulation Peter Bevan, to discuss the future of UK and EU regulation post-Brexit, the challenges of running a global practice, and why the shift to sustainability may be the dominating theme of the next decade of regulation.

16 August 2021

If it walks like a bank…

In the last year, the banking sector has weathered the covid-19 crisis, but the demises of non-banks Archegos, Greensill and Wirecard have raised questions about the distinctions between bank and non-bank regulation. As fintechs continue to innovate, and alternative lenders offer an increasingly wide range of services, do regulators need to widen their perimeter?

14 July 2021

FRTB: Why the answer to banks' data challenge lies close to home

Alexander Dorfmann, senior product manager, financial information at financial market infrastructure operator SIX, argues banks should leverage the data they have already collected from past regulatory initiatives to meet the challenges associated with the Basel III Fundamental Review of the Trading Book.

17 May 2021

The FCA’s NatWest probe: has the regulator bitten off more than it can chew?

Thomas Cattee, white-collar crime specialist at Gherson in London, examines the Financial Conduct Authority’s recently-launched criminal proceedings against NatWest – the first case it has brought against a bank under the Money Laundering Regulations 2007.

01 April 2021

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