Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence

In the fifth episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Rachel Wolcott Engler to look at the compliance challenges posed by increasingly vulnerable customers. Compliance officers are used to the concept of vulnerable customers and the need to take additional care to ensure consistently good customer outcomes but with a cost-of-living...

In the fourth episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Henry Engler to look again at ESG – that is environmental, social and corporate governance and the strain the good intentions are coming under from an uneven global approach, the war in Ukraine and increasing economic challenges. Links to content referenced in the discussion: A...

In the third episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Helen Chan and Mike Cowan to consider the evolving supervisory approach to conduct risk which is a feature of a principles-based approach to financial services regulation and is seeking to ensure that firms put, and are seen to put, the customer first. Firms need to be aware that many regulators aro...

In the second episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Rachel Wolcott and Mike Cowan looking again at operational risk with, in particular, a focus on the impact of cyber on operational risk and resilience. Links to content referenced in the discussion: Operational resilience: next steps on the PRA’s supervisory roadmap − speech by David Bailey, UK Pru...

In the first episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Todd Ehret and Joe Raczynski to discuss the latest Thomson Reuters special report on all things crypto and the complex regulatory future which is beginning to emerge. Links to content referenced in the discussion: A digital version of the special report ‘Cryptos on Rise 2022’ can be found here https...

In the tenth, and last, episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Rachel Wolcott and Brett Wolf to take a look at the current state of play with sanctions and the intended and unintended consequences emerging from the response to the conflict in Ukraine. Links to content referenced in the discussion: Imposition of sanctions deemed to be symbolic https:/...

In the ninth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson to take a look at look at all things Islamic finance. Not every financial services firm is going to choose to consider Islamic finance as a strategic opportunity, but it is an area with substantial global potential both in terms of growth and in its ‘green’ credentials. It is also o...

In the eighth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Helen Chan to take a look at look at the challenges for risk and compliance functions posed by corporate investigations particularly with a backdrop of geopolitical tensions and with examples from, in the most part, Asia. Links to content referenced in the discussion: Impact of China’s ‘unreliable...

In the seventh episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Michael Cowan to take a look at the challenges and indeed threat posed by Big Tech to mainstream financial services. The perceived benefits of allowing tech firms to operate with a banking licence are seen to be ‘compelling but require scrutiny’. Unburdened by legacy infrastru...

In the sixth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Hedwige Nuyens who is, among other things, the chair of European Women on Boards to celebrate International Womens Day. “Any workplace that fails to harness the energy and creativity of its women is at a huge disadvantage in the modern world." Links to content referenced in the...

In the fifth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Rachel Wolcott, to discuss where we are now with Brexit. In one sense Brexit seems a pre-pandemic age ago – Brexit day was 31st January 2020 before COVID became headline news and before the world went into lockdown. So, a couple of years on from Brexit while there hasn’t been th...

In the fourth episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Lindsey Rogerson and Stacey English, director of market intelligence at Theta Lake, to discuss all things hybrid working – what we were all bounced into at the start of the pandemic has, in some shape or form, become the new normal with many, if not all, financial services firms adopting some sort...

In the third episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Alex Robson, Rachel Wolcott and Brett Wolf to take a fresh look at how the implications of tackling financial crime are beginning to shape up. There is a wide swathe of financial crime challenges for 2022 with both the European Union and the UK seeking to breathe life into their anti-money launderin...

In the second episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Mike Cowan to discuss the five key risks for senior managers in financial services firms in 2022. Now at the start of 2022, financial institutions need to consider the changes they might need to make permanent after their largely successful response to the COVID-19 pandemic. A combination of flexib...

In the first episode of season 4 of the Compliance Clarified podcast, Susannah Hammond is joined by Mike Cowan to discuss the ten things the compliance officers of financial services firms need to consider in 2022. Heading into 2022, the pandemic should have been in the rear-view mirror, but instead the world is dealing with the impact of another variant of COVID-19. Many financial services firms...

In the tenth, and last, episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Mike Cowan her co-author on the report Fintech, regtech and the role of compliance in 2022. The subtitle of the report is “challenges arising from technological opportunities” which gives a sense of the findings. It is clear that digital transformation has been a fundamental enabler for fi...

In the ninth episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Lindsey Rogerson and Henry Engler to revisit ESG – that is environmental, social and corporate governance with a particular focus on the ‘G’ – governance together with the ramifications for financial services firms coming out of COP26. For the last couple of weeks practically every headline has been...

In the eighth episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Todd Ehret to take another look at cryptos. In a wide-ranging discussion, we update on both developments in the U.S. and the evolving picture for Central Bank Digital Currencies together with a debate as to whether or not all things crypto are actually regulatable. Or is that mission impossible? As...

n the seventh episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott and Mike Cowan to consider operational resilience with a particular focus on the supply chain, outsourcing and third parties. The discussion will cover the latest regulatory developments, the timeline to a raft of new reporting obligations and the need for compliance functions to be,...

In the sixth of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott to assess the persistence of market abuse, not just as a result of hybrid working but as a continuing supervisory focus. This episode takes a look at where we are now, discusses recent cases and gives an insight into what compliance officers need to consider in the continuing battle against ma...

In the fifth episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott and Todd Ehret to discuss the continuing regulatory dilemma surrounding all things cryptos, crypto firms themselves and the potential direction of regulatory travel. Special report: Cryptos on the rise https://www.thomsonreuters.com.sg/en/resources/cryptos-on-the-rise.html US crypto fr...

In the fourth episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott and Todd Ehret to take a look at the developing issues and what good is beginning to look like for the evolving management of personal accountability. Not only are accountability regimes proliferating around the world but also firms and their compliance officers need to also consider...

In the third episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Lindsey Rogerson, Helen Chan and Henry Engler to take a global look at the developing issues and what good is beginning to look like for managing ESG as a strategic priority. Virtually every industry is affected by the collective efforts of governments to tackle climate change, the effects of which h...

In the second episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Lindsey Rogerson and Henry Engler to discuss the increasing importance of diversity issues for financial services firms. Diversity, in and of itself, is an important issue but it has risen up regulatory agenda as it come under the umbrella of ESG issues which are fast becoming a strategic priority f...

In the first episode of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Helen Chan and Brett Wolf to discuss the shifting sands around sanctions. Sanctions screening, sanctions compliance and evidencing compliance with the patchwork quilt of under and overlapping requirements has never been easy, but it has got a whole lot more challenging in the wake of the Taliban take...