Thomas ogg is a barrister at 11kbw practicing in financial regulation employment and commercial law he was previously seconded to the financial conduct authoritys enforcement legal group and its general counsel division and now regularly advises on contentious financial services matters. Conduct and pay in the financial services industry the regulation of individuals this webpage contains a list of developments relating to the subject matter of conduct and pay in the financial services industry. Beyond law understanding the scope of conduct regulation 04 norton rose fulbright april 2014 the main areas which could be included within the scope of conduct regulation in the uk are set out below conduct of business requirements the uks fca has been given four conduct objectives a strategic objective to ensure that. The regulatory jurisdiction for the financial services register comes under the financial services markets act 2000 fsma payment services regulations 2009 electronic money regulations 2011 and money laundering terrorist financing and transfer of funds information on the payer regulations 2017. 2018 banking regulatory outlook anticipating updated compliance requirements gain insight into key regulations that companies in the banking industry should be monitoring and addressing in 2018
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