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Consumer Financial Products › Retail Investors

Alston & Bird

Structured Finance Spectrum – Winter 2025

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Welcome to the latest edition of the Spectrum, covering hot-topic issues in the structured finance markets in the U.S. and UK. This edition features a close look at business development companies, an introduction to project...more

BCLP

Duty Bound - Paved with good intentions? The future of the Consumer Duty

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The intention behind the implementation of the Consumer Duty is commendable. However, as firms seek to comply with the new requirements, there is a real risk that it may drive unintended, negative consequences....more

Latham & Watkins LLP

Is the Customer Always Right? PE in Focus as Regulators Tighten Grip on Consumer Facing Companies

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Consumer-facing companies face an increasingly complex UK regulatory landscape as multiple regulators place the spotlight on consumer rights and protections. A raft of new legislation is set to impact businesses and PE...more

Goodwin

The UK Consumer Duty: The FCA’s Reminder for Private Fund Managers

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In our previous client alert, The UK Consumer Duty: Next Steps for Private Fund Managers, we explored the new consumer duty rules contained in PS22/9: A new Consumer Duty. As we noted, the duty applies to managers who provide...more

Hogan Lovells

[Webinar] Consumer Duty – it’s closer than you think - September 14th, 11:00 am - 12:00 pm BST

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The FCA has released final rules for the Consumer Duty. Whilst most people have focused on the news that the implementation deadline will be extended to July 2023, a firm's board must, by the end of October 2022, need to have...more

Hogan Lovells

[Webinar] Consumer Duty Series - Episode 3: Consumer Duty - hitting the first milestone - September 6th, 10:00 am - 11:00 am BST

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Join Hogan Lovells Financial Services lawyers and consultants on Tuesday 6 September for the next webinar in our series on the new Consumer Duty. The FCA’s final rules were released on 27 July... and your firm now needs to...more

Latham & Watkins LLP

UK FCA Publishes Detailed Plans for New Consumer Duty

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FCA makes clear that it expects a cultural shift in how firms focus on consumers. On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty....more

White & Case LLP

Ahead of the pack: US M&A 2019: Consumer deals fall but disruption may be a driver

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Restructurings and uncertainty are hitting the US consumer sector. Retail M&A deal volume dropped 11 percent year-on-year to 459 deals, while deal value dropped 36 percent to US$76.87 billion. Consumer M&A activity...more

Herbert Smith Freehills Kramer

OCIE Releases 2020 Examination Priorities

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The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency and provides insights into...more

A&O Shearman

UK Conduct Regulator Reminds Firms of Obligations on Selling High-Risk Products to Retail Clients

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The U.K. Financial Conduct Authority has issued a statement on selling high-risk speculative investments to retail clients following the European Securities and Markets Authority's product intervention on contracts for...more

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