Jennifer Duffy
Davis Polk & Wardwell LLP
Articles
Financial Services Compliance: European Union overview
European Union, United Kingdom - May 24 2021 Since the 2008 financial crisis, there has been a pronounced shift towards concentration of power and influence at the European Union level, away from…
Snapshot: the regulatory framework for financial services compliance in United Kingdom
United Kingdom - March 19 2021 A concise Q&A guide to the financial services regulatory framework in United Kingdom, including national authorities, authorisation regime, key legislation, the scope of regulation and more.
In brief: financial services compliance programmes in United Kingdom
United Kingdom - March 19 2021 This Q&A covers some of the key legal, regulatory and practical considerations for financial services firms when implementing a compliance programme in United Kingdom.
In brief: financial services compliance programmes in United Kingdom
United Kingdom - March 16 2020 This Q&A covers some of the key legal, regulatory and practical considerations for financial services firms when implementing a compliance programme in United Kingdom.
First-step analysis: financial services compliance in United Kingdom
United Kingdom - March 16 2020 Your first-step guide to navigating the legal and practical issues surrounding financial services compliance in United Kingdom, including the regulatory framework, enforcement considerations and cross-border issues.
