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A series of briefings that take a ‘bite-size’ look at international trends in different jurisdictions, drawing on Baker McKenzie’s expert financial services practitioners.

Global financial regulators are maintaining their focus on the way that fees are disclosed to clients and factors, particularly compensation structures and conflicts of interest, which may encourage sales staff of financial intermediaries to inappropriately recommend or sell investment products. This edition takes a bite-size look at regulatory initiatives aimed at reviewing and controlling pricing practices used by intermediaries and related issues of conflicts of interest in Hong Kong, Singapore, United Kingdom, and the United States.

 

Author

Amy serves as the Co-chair of Baker McKenzie’s North American Financial Regulation and Enforcement Practice, which provides our clients with a full range of regulatory advice and enforcement counseling. Previously, Amy has served as chief litigation counsel at the US Securities and Exchange Commission's (SEC) Philadelphia regional office and managed a team of lawyers overseeing a wide variety of enforcement matters and investigations.

Author

Karen Man is a partner in Baker McKenzie’s Financial Services group, leading the non-contentious Financial Services Regulatory practice. Her clients include global, Chinese and local banks, fund managers, brokers/dealers, money service operators and fintech firms. Karen is admitted to practice in Hong Kong, the UK, and Australia.

Author

Mark Simpson is a partner in the Financial Services & Regulatory Group in the London office where he practices in the areas of financial regulation, financial crime, and regulatory investigations. He is a member of the Firm's EMEA Financial Services & Insurance Steering Committee, as well as its Global Funds and FinTech Groups. He participates actively in industry bodies including the Alternative Investment Managers Association. He has authored a number of articles and other publications, most notably acting as a general editor of and contributor to the International Guide to Money Laundering Law and Practice, and A Practitioner's Guide to the Law and Regulation of Financial Crime.