Global Regulation, Local Solutions Emerging Themes 2020 - Page 5



GLOBAL REGULATION, LOCAL SOLUTIONS. – CONTENTS
EMERGING THEMES 2020
Contents
06-31
32-45
46-71
72-85
SUPERVISION
GOVERNANCE
DIGITAL
8
TELLING TALES OUT OF SCHOOL
When do you report low-level misbehaviour
to the FCA?
34
GET ON TRACK FOR SMCR
The journey for solo-regulated firms
FINANCIAL CRIME
AND INVESTIGATIONS
Adam Jamieson
Polly James and Joseph Ninan
12
“FAIR” PRICING OF FINANCIAL PRODUCTS
Will the FCA introduce an express regulatory
duty of fair pricing?
38
DON’T DROP THE M-I-C
Notifying the Hong Kong SFC of
Manager-in-charge changes
Glenn Haley, Ian Cheng and Vivica Fu
Nathan Willmott
16
SPEAK UP, LISTEN UP
The FCA zeroes in on non-financial misconduct
40
DON’T SHOOT THE MESSENGER
Preparing for new whistleblowing protection
laws in the UAE
Catherine McGrath and Adam Turner
Raza Mithani
20
SIZE MATTERS
New prudential framework for EU investment firms
42
GREEN BECOMES TRANSPARENT
ESG and sustainable growth find regulatory clarity
Kai Zhang
Matthew Baker and Chris Ormond
24
A TICK IN ALL THE BOXES
The Rothesay decision: Are Part VII transfers
now restricted?
Anthony Lennox and Oliver Saunders
28
A CALL TO ACTION
Customer value in the general insurance
distribution chain
Geraldine Quirk and Laura Jackson
48
BUILDING BRIDGES
Addressing challenges in cross-border
investigations
Mark Srere, Laura Perlov and Naomi Miles
52
COLLECTIVE ACTION
UK collective cartel claims: an emerging
risk class
Sarah Ward and Andrew Leitch
56
PUT TO THE TEST
What is the FCA looking for from firms’ approach
to financial crime prevention?
Andrew Tuson
60
THE LONG ARM OF OFAC
Non-US entities should still be mindful of
the reach of US sanctions
74
CLARIFYING THE CRYPTIC
Clear and sensible regulation is vital to blockchain’s
success in financial services
Daniel Csefalvay, Bernd Geier and Ben Saul
78
MEET THE BODYGUARD
The new standard for payment security is on its
way, with SCA
Kai Zhang
82
PREDICTIVE TECH
Next-gen AI is helping compliance monitor
rogue operations
Jason Alvares and Sian Cowan
84
FRIEND OR FOE?
Is regulatory change a threat or a catalyst for
business improvement?
Susan Whitla and Nick Pryor
Megan Barnhill and Susan Kovarovics
62
THE CHANGING LANDSCAPE OF TAX RISK
Real-time engagement with HMRC
Kate Ison and Jessica Hocking
64
A BALANCING ACT
Where’s the tipping point between a bribe
and corporate hospitality?
Mukul Chawla QC and Jennifer Mammen
68
FIGHT THEM ON THE BREACHES
Data breach class litigation gains momentum –
is there a better way to manage it?
Oran Gelb, Sarah McAtominey and Jack Dunn
4/
/5

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