About the 2017 Forum

The 4th Annual Financial Services Forum will provide delegates with overviews of key legal and regulatory developments across the financial services industry, including enforcement, MiFID II implementation and the extension of the Senior Managers Regime and Certification .

The Forum presents delegates with an opportunity to hear from regulators and industry experts, and provides a useful platform from which to ask questions and benchmark achievements and challenges with peers.

We aim to delve deep into practical solutions for current market challenges and discuss in an open forum what opportunities and challenges are being presented by the current geopolitical landscape, including Brexit and the Trump administration.

Topics on the agenda include;

  • Geopolitical impacts on UK Financial Services
  • Conduct and Culture: MiFIDII, SMR and Conduct Risk
  • FCA and PRA Priorities and Regulatory Developments
  • Enforcement and Financial Crime: MAR, MLD 4&5, Criminal Finances Bill, and enforcement priorities
  • Technology, Innovation and Data Protection: GDPR, Cyber and ePrivacy

We asked our delegates what they most enjoyed about the 2016 Forum, here’s what they said:

“A good selection of topics and very well organised. Balance between the plenary and breakout sessions was good”

Tim Freeman, Legal Counsel, Orbis Investment Advisory


“The speakers were excellent. Great to have speakers from financial institutions & regulators to balance out usual law firm speakers. Also very high quality fellow delegates asked excellent questions. Good use of panel format. Overall this resulted in me getting twice the benefit and value from the sessions I expected to get. I’ll be back next year”

Sarah Chidgey, Head of Compliance, IntegraFin Services


“The focus on regulation as the sessions highlighted the major issues and mapped out the regulatory framework in the financial arena”

Christopher Stevenson, Deputy Head of Legal, BNP Paribas


“Having a day out of the office to consider challenges facing the business, listening to an impressive line-up of speakers, meeting some of the lawyers we use face to face and in-house lawyers from similar sized firms”

Miranda Chapple, General Counsel, Thesis Asset Management


“Quality of the speakers (and the food)”

Tom Sneddon, Head of Business Governance, Walter Scott & Partners


“The quality of the speakers”

Su McAll, Chief Compliance Officer, Sumitomo Mitsui Banking

To view the 2016 website, including the agenda, speakers, sponsors and more please click here.

2016 delegates included:

  • Addleshaw Goddard
  • Baker & McKenzie
  • Bank of England
  • Barclay Simpson
  • Barclays Bank
  • Baringa Partners
  • Berenberg
  • Bluefield Partners
  • BNP Paribas
  • Browne Jacobson
  • Canada Life
  • Cartwright King
  • CGSH
  • Charles Russell Speechlys
  • Clarke Willmott
  • Collyer Bristow
  • Credo Wealth
  • Daiwa Corporate Advisory
  • Edinburgh City Council
  • Eversheds
  • Farrer & Co
  • FCA
  • Financial Ombudsman Service
  • Her Majesty’s Treasury
  • HSBC Holdings
  • IFDS
  • IntegraFin Services
  • JW Compliance
  • King & Wood Mallesons
  • Lloyds Banking
  • Menzies
  • Orbis Investment
  • Rathbone
  • Royal London
  • Ruffer
  • St. James’s Place Wealth Management
  • Statestreet
  • Sumitomo Mitsui Banking
  • Taylor Wessing
  • TD Direct Investing
  • Tenet Group
  • Thesis Asset Management
  • Think Money Group
  • UCL
  • USS Investment Management
  • Walter Scott & Partners