Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence

In the final episode of the second series of Compliance Clarified, Mike Cowan and Lindsey Rogerson joins Susannah Hammond to discuss the growth of personal accountability regimes. In the wake of the 2008 global financial crisis lawmakers in countries from the UK to Singapore viewed personal accountability regimes as a way to hold individuals responsible for any future financial failures. But are t...

In the ninth episode of series 2 of the Compliance Clarified podcast Susannah Hammond is joined by Lindsey Rogerson to discuss the growing need for technology skills in financial services firms. Technological innovation and digital transformation are changing the face of financial services and meeting the challenges of technological innovation needs the appropriate skills. As discussed in the podc...

In the eighth episode of the Compliance Clarified podcast Susannah Hammond is joined by Mike Cowan, Lindsey Rogerson and Rachel Walcott to discuss where we are now on culture in financial services. The wide-ranging discussion covers cultural indicators, the challenges around trying to change culture and has practical takeaways for compliance officers. As discussed in the podcast here are some addi...

In the seventh episode of the Compliance Clarified podcast Susannah Hammond is joined by Kevin Batteh of the Delta Strategy Group and Todd Ehret to discuss the potential of cryptos to make payments and transfers more efficient. The speed and reach of transactions, however, together with the potential for anonymous activity and for transactions without financial intermediaries, also make crypto-ass...

In the sixth episode of the Compliance Clarified podcast Susannah Hammond is joined by Mike Cowan and Rachel Wolcott to discuss the increasing prominence of data governance. Data governance covers an exceedingly wide range of issues and is coming to the fore now as firms and regulators alike are moving away from spreadsheets and seeking to automate. Post pandemic the focus on automation and digita...

In the fifth episode of the Compliance Clarified podcast Susannah Hammond is joined by Helen Chan and Todd Ehret to discuss the wide-ranging implications for financial services firms and their compliance officers arising from antitrust issues. Antitrust rules and requirements around the world are all aimed at preventing anti-competitive behaviour and possible abuse of a dominant market position. C...

In the fourth episode of the Compliance Clarified podcast Susannah Hammond, Brett Wolf and Nathan Lynch discuss the evolving impact of financial crime on financial services firms and their compliance officers. The wide-ranging conversation ranges from the changing stance on sanctions coming from the U.S. to the recent actions of the global AML-standard setting Financial Action Task Force which has...

In the third episode of the Compliance Clarified podcast Susannah Hammond and Lindsey Rogerson discuss all things remuneration and what compliance officers around the world need to consider. The regulatory focus on remuneration, compensation and critically the design of bonuses goes back to the financial crisis and it’s a measure of how crucial good bonus design is seen to be that the very first t...

In the second episode of the second series of Compliance Clarified Susannah Hammond and Mike Cowan discuss the findings of the 12th annual cost of compliance report - https://legal.thomsonreuters.com/en/insights/reports/the-cost-of-compliance-2021 The Thomson Reuters Regulatory Intelligence annual cost of compliance report is the trusted and acknowledged voice of risk and compliance practitioners...

Welcome to the first episode of series 2 of Thomson Reuters Regulatory Intelligence’s Compliance Clarified podcast. For the second series we have an overarching theme of threats and particularly external ones – so there will be a recurring focus assessing what compliance functions need to consider which could impact their firm and the required good customer outcomes. In this episode Susannah Hammo...

In this last episode of the current season of the Compliance Clarified podcast series, Susannah Hammond, Lindsey Rogerson and Rachel Wolcott discuss all things Brexit. Specifically, what the future interaction and relationship between the UK and the EU might look like and what that may mean for financial services firms and their compliance officers. The "Rachel" Lindsey refers to in this episode i...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence discuss the Regtech governance lifecycle special report which explores what good governance looks like when applied to the implementation and embedding of regtech applications. Regtech: the governance lifecycle report can be found here - https://legal.thomsonreuter...

Episode 10 of Compliance Clarified takes a look at the findings of Dame Elizabeth Gloster’s report into the failure of London Capital & Finance plc and its ramifications for the UK Financial Conduct Authority. With Susannah Hammond to discuss the Gloster report, the Treasury Select Committee hearings and the likely future of the UK FCA are Lindsey Rogerson and Rachel Wolcott. Related articles by R...

Episode 9 examines climate risk and specifically the implications of the Sustainable Finance Disclosure Regulation or SFDR which comes into effect on March 10, 2021. With Susannah Hammond to discuss the myriad implications climate risk has for financial services firms are Mike Cowan, senior regulatory intelligence expert for TRRI and Lindsey Rogerson, senior editor, risk at TRRI. Click on the belo...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Todd Ehret of Thomson Reuters Regulatory Intelligence discuss the likely impact of not only the change in administration in the U.S. but also the GameStop volatility. In a wide ranging discussion, the potential practical ramifications of the proposed changes in personnel at the top of major regulatory bodies are consi...

In this episode of the Compliance Clarified podcast series, Susannah Hammond, Niall Coburn and Helen Chan of Thomson Reuters Regulatory Intelligence discuss China and the challenges of digital transformation. Digital transformation is happening at pace in China with the rise of dominant technology providers and the provision of services which will expand and diversify the landscape of the financia...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence discuss five key risks for financial services firms in 2021 and highlight the continuing need for risk and compliance functions to be front and centre to enable their firms to thrive into the medium term. The expert talk on five key risks for firms in 2021 can be f...

In this episode of the Compliance Clarified podcast series, Susannah Hammond is joined by Rachel Wolcott, chief UK European correspondent, and Lindsey Rogerson, senior editor for Thomson Reuters Regulatory Intelligence, to discuss some of the emerging global topics for compliance practitioners in financial services firms today. Topics discussed include Brexit, approach to environmental, social and...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence continue the discussion on the ten things compliance officers of financial services firms need to consider in 2021 regardless of geography or sector. The expert talk on ten things compliance officers need to do in 2021 can be found here – https://legal.thomsonreute...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence discuss the first five of the ten things compliance officers of financial services firms need to consider in 2021 regardless of geography or sector. The expert talk on ten things compliance officers need to do in 2021 can be found here – https://legal.thomsonreuter...

In this episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence discuss the findings of the COVID-19 update to the Cost of Compliance report and consider the practical impact of the pandemic on financial services compliance officers. The 11th annual cost of compliance survey and snapshot COVID-19 update has already been downloa...

In the opening episode of the Compliance Clarified podcast series, Susannah Hammond and Mike Cowan of Thomson Reuters Regulatory Intelligence discuss the findings of the 5th annual fintech, regtech and the role of compliance report and consider what financial services compliance officers can and should do about technological solutions. You can download the 5th annual Fintech, regtech and role of c...

Compliance Clarified is a new podcast from Thomson Reuters Regulatory Intelligence. Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding rol...