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Linklaters is a leading global law firm, supporting and investing in the future of our clients wherever they do business. We combine legal expertise with a collaborative and innovative approach to help clients navigate constantly evolving markets and regulatory environments, pursuing opportunities and managing risk worldwide. Disclaimer: Podcasts are not legal advice and the views expressed in this podcast are not the views of Linklaters LLP.
Episodes
Wednesday Nov 02, 2022
Scoping for asset managers // Consumer Duty
Wednesday Nov 02, 2022
Wednesday Nov 02, 2022
Episode 9: The FCA’s Consumer Duty
In this podcast episode we work through case studies illustrating Consumer Duty scoping for asset managers. We discuss discretionary management on a delegated basis, pensions schemes, and investment trusts. This episode complements our November webinar on Consumer Duty scoping and setting up implementation for success.
This episode features Duncan Campbell (senior associate) and Clare Wiles (associate) in Linklaters' London financial regulation team. If you would like to discuss any aspect of the Consumer Duty or you would like to explore how we can help you navigate the implementation process, please contact Sara (Sara.Cody@linklaters.com), Duncan (Duncan.Campbell@linklaters.com) or any of your Linklaters contacts.
This episode complements our November webinar on Consumer Duty scoping and setting up implementation for success. Visit our Consumer Duty webpage for a recording of this webinar and all our other insights on the Consumer Duty.
Wednesday Nov 02, 2022
Scoping for wholesale firms // Consumer Duty
Wednesday Nov 02, 2022
Wednesday Nov 02, 2022
Episode 8: The FCA’s Consumer Duty
In this podcast episode we work through case studies illustrating Consumer Duty scoping for wholesale firms. We discuss the implications of the definition of "retail customer" and opting up, where you might rely on the relevant exemptions including ECM, DCM and retail structured products, and being in a "distribution chain" and consequences for custody services.
This episode features Sara Cody (counsel) and James Morris (managing associate) in Linklaters' London financial regulation team. If you would like to discuss any aspect of the Consumer Duty or you would like to explore how we can help you navigate the implementation process, please contact Sara (Sara.Cody@linklaters.com), Duncan (Duncan.Campbell@linklaters.com) or any of your Linklaters contacts.
This episode complements our November webinar on Consumer Duty scoping and setting up implementation for success. Visit our Consumer Duty webpage for a recording of this webinar and all our other insights on the Consumer Duty.
Thursday Sep 22, 2022
The final rules – your implementation journey begins // Consumer Duty
Thursday Sep 22, 2022
Thursday Sep 22, 2022
Episode 7: The FCA’s Consumer Duty
The FCA has now published its final rules implementing a new Consumer Duty. In this podcast episode we highlight key changes from the draft rules and begin to explore what the implementation journey will look like across the spectrum of firms subject to the Duty.
This episode features Sara Cody (counsel) and Duncan Campbell (senior associate) from Linklaters’ Financial Regulation team in London. If you would like to discuss any aspect of the Consumer Duty or you would like to explore how we can help you navigate the implementation process, please contact Sara (Sara.Cody@linklaters.com), Duncan (Duncan.Campbell@linklaters.com) or any of your Linklaters contacts.
Wednesday Aug 17, 2022
Wednesday Aug 17, 2022
Episode 2: Hidden trends in the FCA’s latest Interventions and Enforcement reporting
The FCA has published its 2022 annual report with statistics on its Interventions and Enforcement work. In this podcast episode we reveal some hidden trends and themes these numbers that aren't as clear from the charts and tables that the FCA produced itself. This can forewarn firms of the FCA's directions of travel and enable firms to take targeted action to mitigate relevant risks.
This episode features Sara Cody (counsel) and Duncan Campbell (senior associate) from Linklaters' Financial Regulation team in London.
Here is a pack of data visualisations of the reporting discussed in this episode.
And here is our previous publication and podcast episode on enforcement trends for 2022.
Monday Apr 25, 2022
Restitution in financial services // Contentious Regulatory
Monday Apr 25, 2022
Monday Apr 25, 2022
Episode 11: Non-financial misconduct and whistleblowing
In this podcast episode we discuss the FCA’s evolving use of its powers to require firms to pay redress to customers. This episode features Alison Wilson, Linklaters’ Global Head of Dispute Resolution and a member of our contentious regulatory partner team in London and Sara Cody, counsel in Linklaters’ Financial Regulation practice.
Monday Dec 20, 2021
Monday Dec 20, 2021
Episode 6: The FCA’s Consumer Duty
In this podcast episode we discuss implications for asset managers of the FCA's second consultation paper on its proposed new consumer duty, including its scope, interaction with existing Principles, application throughout the distribution chain, monitoring and testing, and steps that asset managers can take now to prepare.
This episode features Raza Naeem and Sara Cody (counsel, financial regulation, London). It complements our podcast episode on the implications of the second consultation paper for all firms.
Visit our consumer duty webpage for all our resources on the proposed consumer duty.
Monday Dec 20, 2021
The second consultation paper // Consumer Duty
Monday Dec 20, 2021
Monday Dec 20, 2021
Episode 5: The FCA’s Consumer Duty
In this podcast episode we discuss the FCA's second consultation paper on its proposed new consumer duty. What's changed between the first and second consultation? What questions does the second consultation paper answer? And what steps can you take to prepare?
This episode features Gavin Lewis (partner, dispute resolution, London) and Sara Cody (counsel, financial regulation, London).
Visit our consumer duty webpage for all our resources on the proposed consumer duty.
Tuesday Dec 07, 2021
Approaches in Singapore // Contentious Regulatory
Tuesday Dec 07, 2021
Tuesday Dec 07, 2021
Episode 10: Non-financial misconduct and whistleblowing
In this podcast episode we discuss the Singapore's regulatory approach to non-financial misconduct and whistleblowing.
This episode features Singapore partners Peiying Chua (financial regulation), Laure de Panafieu (employment & incentives) and Jelita Pandjaitan (dispute resolution), and managing associate Duncan Campbell (contentious regulation, London).
For more detail, see our full publication reviewing the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.
Thursday Nov 11, 2021
Implications for asset managers // Consumer Duty
Thursday Nov 11, 2021
Thursday Nov 11, 2021
Episode 4: The FCA’s Consumer Duty
In this podcast episode we discuss aspects of the FCA's proposed financial services consumer duty that may have particular implications for both retail and wholesale asset managers - including how the duty can apply to various firms in the distribution chain, how the consumer duty could go beyond existing TCF obligations, and a focus on communications and fair value.
This episode features Sara Cody and Raza Naeem, both counsel in our London financial regulation practice.
An infographic accompanies this episode. And for all our resources on the FCA's proposals including more podcast episodes and infographics, visit our webpage.
Thursday Oct 21, 2021
Thursday Oct 21, 2021
Episode 9: Non-financial misconduct and whistleblowing
In this podcast episode we discuss the FCA, PRA and Bank of England's joint discussion paper on their plans to monitor, track and improve diversity and inclusion in regulated firms. We examine how D&I will become a regulatory risk issue; the links drawn between D&I and non-financial misconduct; and the proposed D&I policy options and difficulties firms may face in implementing them.
This episode features Linklaters London financial regulation counsel Elizabeth Dowd and Sara Cody.
Tuesday Oct 19, 2021
Asia Bitesize Antitrust Podcast // AFIG // Episode 4: Thailand
Tuesday Oct 19, 2021
Tuesday Oct 19, 2021
In this episode, our Bangkok-based partner Sutthipong Koohasaneh gives an update on Thailand’s merger control regime and shares with Kathleen Gooi about some of the most distinctive characteristics of the Office of the Trade Competition Commission’s enforcement, known to be active in both behavioural matters and merger control review, under the new Trade Competition Act. Listen now and get up to speed on what you need to know about the latest competition landscape in Thailand as it now emerged as one of the key competition law jurisdictions in Asia.
Thursday Oct 07, 2021
The Frensham decision - clarity from the Upper Tribunal? // Contentious Regulatory
Thursday Oct 07, 2021
Thursday Oct 07, 2021
Episode 8: Non-financial misconduct and whistleblowing
In this podcast episode we discuss the Upper Tribunal's Frensham decision and the important guidance it provides on when non-financial misconduct involving a lack of personal integrity can impact on an individual's fitness and propriety to perform a financial services role.
This episode features Clare McMullen and Nik Kiri (partners, Financial Regulation, London) and Gavin Lewis (partner, Dispute Resolution, London). For more detail, see our commentary and complete note on the decision. And for more insights on non-financial misconduct and whistleblowing including a global comparative review and our other podcast episodes, visit our webpage.
Thursday Oct 07, 2021
Dutch approaches // Contentious Regulatory
Thursday Oct 07, 2021
Thursday Oct 07, 2021
Episode 7: Non-financial misconduct and whistleblowing
In this podcast episode we discuss Dutch approaches to non-financial misconduct and whistleblowing in financial services firms.
This episode features partner Bas Jennen and managing associate Leonard van den Ende both from our financial regulation practice in Amsterdam, and counsel Sara Cody from our financial regulation practice in London.
For more detail, see our full publication reviewing the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.
Tuesday Oct 05, 2021
Asia Bitesize Antitrust Podcast // AFIG // Episode 1: The Asia Patchwork
Tuesday Oct 05, 2021
Tuesday Oct 05, 2021
Over the next 6 weeks we will bring you up to speed on the most recent antitrust and foreign investment developments in key Asia Pacific jurisdictions. To understand how it might impact your business operations and strategic next steps in the region, bookmark our dedicated webpage.
Tuesday Oct 05, 2021
Asia Bitesize Antitrust Podcast // AFIG // Episode 2: Hong Kong SAR
Tuesday Oct 05, 2021
Tuesday Oct 05, 2021
Our Hong Kong competition specialists Kathleen Gooi and Marcus Pollard will give an overview of the key updates and enforcement trends in Hong Kong.
Asia Bitesize Antitrust Podcast brings you up to speed on the most recent #antitrust and #foreigninvestment developments in key APAC jurisdictions. To understand how it might impact your business operations and strategic next steps in the region, bookmark our dedicated webpage.
Monday Oct 04, 2021
Impact of the amended ESMA/EBA guidelines // Contentious Regulatory
Monday Oct 04, 2021
Monday Oct 04, 2021
Episode 6: Non-financial misconduct and whistleblowing
In this podcast episode we discuss the impact on the regulation of non-financial misconduct of recent proposed amendments to joint ESMA/EBA guidelines.
This episode features Gavin Lewis (partner, Dispute Resolution, London) and Duncan Campbell (managing associate, Financial Regulation, London). For our insights on global approaches to non-financial misconduct and whistleblowing, see our full publication and other podcast episodes.
Monday Sep 20, 2021
Implications for fintechs and challengers // Consumer Duty
Monday Sep 20, 2021
Monday Sep 20, 2021
Episode 3: The FCA’s Consumer Duty
In this podcast episode we discuss the implications for fintechs and challengers of the FCA's proposed consumer duty. We cover common characteristics of fintechs and challengers and how the proposals may impact them, including data analysis, customer UX/UI, online/app channels and target markets, product complexities, fee structures, "fair value" and intermediation.
This episode features Simon Treacy (senior associate, Financial Regulation, London; simon.treacy@linklaters.com) and Duncan Campbell (managing associate, Financial Regulation, London; duncan.campbell@linklaters.com).
For more detail, see our infographic. And for all our thinking on the consumer duty including other publications, infographics and podcast episodes, visit our webpage.
Tuesday Aug 03, 2021
Hong Kong approaches // Contentious Regulatory
Tuesday Aug 03, 2021
Tuesday Aug 03, 2021
Episode 5: Non-financial misconduct and whistleblowing
In this podcast episode we discuss how Hong Kong financial services regulation and supervision addresses non-financial misconduct. We outline the roles of the SFC and HKMA, examine how the regulatory framework applies to individuals' non-financial misconduct, detail the regulation of senior manager and firm accountability for incidents involving firm employees, address reporting and notifications issues, and describe protections afforded to whistleblowers.
This episode features Andrew Chung and Denise Fung (partners, dispute resolution, Hong Kong), Sumit Indwar (partner, financial regulation, Hong Kong) and Duncan Campbell (managing associate, financial services contentious regulation, London).
For more detail, see our full publication reviewing the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.
Friday Jul 23, 2021
Consumer redress // Consumer Duty
Friday Jul 23, 2021
Friday Jul 23, 2021
Episode 2: The FCA’s Consumer Duty
In this podcast episode we review the various mechanisms for consumers to obtain redress from financial services firms. We assess how the FCA’s proposal to extend the private right of action to cover Principle breaches (including any new Consumer Principle) might fit within the current framework. Crucially, will this achieve the FCA’s aim of securing a higher level of protection to consumers?
This episode features Lara Adamson (Associate, Dispute Resolution, London), Tom Rudrum (Associate, Dispute Resolution, London).
Visit our webpage on the FCA's proposed consumer duty for our latest insights and the infographic that accompanies this episode.
Friday Jun 25, 2021
German approaches // Contentious Regulatory
Friday Jun 25, 2021
Friday Jun 25, 2021
Episode 4: Non-financial misconduct and whistleblowing
In this podcast episode we discuss how German financial services regulation and supervision addresses non-financial misconduct. We examine the grounds on which a senior individual might be removed from role for non-financial misconduct or failing to control the risk of non-financial misconduct in their organisations. We also cover German whistleblowing protections including the current state of play on Germany’s implementation of the Whistleblowing Directive. This episode features Andreas Dehio (partner, financial regulation, Frankfurt), Christian Schmitt (partner, dispute resolution, Frankfurt) and Sara Cody (counsel, financial regulation, London).
For more detail, see our full publication reviewing the approach to non-financial misconduct and whistleblowing in 12 key jurisdictions.
Tuesday Jun 15, 2021
US approaches // Contentious Regulatory
Tuesday Jun 15, 2021
Tuesday Jun 15, 2021
Episode 3: Non-financial misconduct and whistleblowing
In this podcast episode, we discuss US legal and regulatory approaches to non-financial misconduct and whistleblowing in financial services. We look at some examples of the ways that US regulators have been addressing non-financial misconduct, starting with FINRA at the Federal level and outlining the relevance of Federal employment law and regulators. We examine the whistleblowing protections afforded by Federal law and also the position in the State of New York. Finally, we step through a worked example to bring it all together.
For more, read our report on non-financial misconduct and whistleblowing – the approach of regulators in 12 key jurisdictions.
Duncan Campbell (Managing Associate, Financial Regulation, London) hosts this discussion with Doug Davison (Partner, Dispute Resolution, Washington, D.C.) and Somin Lee (Associate, Dispute Resolution, New York City). Recorded in June 2021.
Wednesday Jun 09, 2021
The first consultation // Consumer Duty
Wednesday Jun 09, 2021
Wednesday Jun 09, 2021
Episode 1: The FCA’s Consumer Duty
Dispute resolution partner Alison Wilson and financial regulation counsel Sara Cody discuss the FCA's recent consultation on the introduction of a "consumer duty" in financial services. We give an overview of the proposals and consider their key aspects, and give some thought to the practical implications for firms.
For more details, see our infographic.
Monday May 17, 2021
Global approaches // Contentious Regulatory
Monday May 17, 2021
Monday May 17, 2021
Episode 2: Non-financial misconduct and whistleblowing
In this podcast Dispute Resolution partner Gavin Lewis and Financial Regulation counsel Sara Cody examine the approach of global financial regulators to non-financial misconduct and whistleblowing. We look at some of the reasons why some regulators have begun to focus on non-financial misconduct as part of their assessment of individuals' suitability, and the increasing importance of effective whistleblowing programs.
Monday May 17, 2021
Financial services enforcement trends 2021 // Contentious Regulatory
Monday May 17, 2021
Monday May 17, 2021
Episode 1: Non-financial misconduct and whistleblowing
In this podcast counsel Sara Cody and managing associate Duncan Campbell discuss the most important UK financial services enforcement developments in 2020, together with some of the key areas we believe will drive the nature and direction of enforcement activity by the UK financial regulators during 2021.