By Rob Moulton, Nicola Higgs, Anne Mainwaring, and Charlotte Collins
The latest edition of our Private Bank Briefing provides a roundup of legal and compliance issues impacting private banks and their clients from Q3 2021.
In this edition, we include a summary of the latest sustainable finance developments, and pinpoint areas of post-Brexit regulatory divergence in relation to MiFID, PRIIPs, and the AML regime. We cover the FCA’s new ethos as set out in its Business Plan, and the regulators’ latest thinking on diversity and inclusion, as well as other key updates for private banks from the last three months.
We also include our regular features — TechTrends, Lessons from Enforcement, and Global Insights. This edition’s Lessons from Enforcement covers a recent case examining the impact of non-financial misconduct on an individual’s fitness and propriety.
View the full briefing.
Previous editions of Private Bank Briefing are available here.
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