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Legal and Regulatory Risk Note

Welcome to the November 2019 edition of the Risk Note, our global risk management briefing on key legal and regulatory issues in the finance sector.

Foreward to the new edition: This is not a time for the faint hearted. Navigating the complex risk landscape in which the global financial services industry has to operate has become significantly more challenging than at any time since the height of the financial crisis more than a decade ago.

Financial institutions across the world are facing intense scrutiny from policymakers, regulators and the general public over issues that may have their origins in the financial crisis but have now matured into legal, regulatory and social obligations.

The proliferation of rules and regulations relating to anti-money laundering and sanctions, and questions about how banks and other financial services firms should store, manage and use the vast lakes of data available to them are just a few of the risk management challenges that the industry continues to grapple with.

Add to this mix, the impact of the China and U.S. trade war, the far-reaching regulatory and operational ramifications of Brexit and the escalating geopolitical and economic uncertainty in key markets across the world and the picture can become immensely complicated.

Only the most well-prepared, agile and customer-centric companies are likely to thrive in today’s environment.

We at Allen & Overy have published this new edition of the Risk Note with the intention of helping to inform thinking and analysis among in-house legal, risk and compliance teams. These specially selected insights from our leading lawyers provide a practical overview of some of the most pressing risks and their potential implications. I hope they provide much food for thought. 


Download the Legal & Regulatory Risk Note

Read our specially selected insights into key legal and regulatory issues in the finance sector.