Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence

Nov 21 2024 123 ep. 31 mins 31
Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence artwork

Compliance Clarified is a 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 role of the compliance officer.  Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.

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Season 12, Episode 10: COP 29 summit and the elephant in the room

Nov 21 2024 16 mins  
International leaders (the few who were there) reached agreement on carbon trading, development bank financing and a loss and damage fund at the COP 29 summit in Baku, Azerbaijan. In this last episode of the series, Henry Engler, senior editor in New York, joins Alex Robson, managing editor in London, to discuss the annual United Nations climate summit and some of the wins for deve

Season 12, Episode 9: A discussion on TD Bank's AML challenges and record-setting fine

Nov 14 2024 28 mins  
In the ninth episode of Season 12 of Compliance Clarified, Todd Ehret, senior regulatory intelligence expert, is joined by Brett Wolf for an insightful discussion on the TD Bank unprecedented fine related to the banks numerous AML failures.Brett Wolf, is an award winning journalist and our resident expert on AML, financial crime, and sanctions for Thomson Reuters Regulatory Intelli

Series 12, Episode 8: Consumer Duty, so far so good?

Nov 07 2024 13 mins  
It has been more than 15 months since the UK Financial Conduct Authority (FCA) introduced the Consumer Duty for current products and over three months since its introduction for closed products. During that time, the FCA has gone from helping firms prepare for the duty's impact to scrutinising how they have implemented it.The FCA's approach to supporting firms prior to implementati

Series 12, Episode 7: Bluecrest

Oct 31 2024 13 mins  
The FCA's recent victory (http://go-ri.tr.com/Ee9lhf) in the Court of Appeal against BlueCrest Capital Management presented an interesting reversal of a tribunal decision last year (http://go-ri.tr.com/0olu4N) which sided with BlueCrest.Whether the case now goes to a full hearing at the tribunal or an appeal to the Supreme Court on these preliminary issues remains to be seen.Whatev

Season 12, Episode 6: What impact will the U.S. presidential election have on regulation? Who will win?

Oct 24 2024 29 mins  
It can't have escaped anyone's notice that there is a presidential election in the United States on Tuesday, November 5. The polls are too tight to call and the fight for the White House between former President Donald Trump and Vice-President Kamala Harris is going right down to the wire.In this episode of Compliance Clarified, Alexander Robson, managing editor, Regulatory Intelli

Series 12, Episode 5: Luxury Sector Scrutinized for Financial Crime and Sanctions Risk

Oct 17 2024 33 mins  
In this episode, Helen Chan, regulatory intelligence expert and Rachel Wolcott, senior editor discuss financial crime compliance risks in luxury hospitality and the luxury goodssectors. They run through recent developments and sanctions compliance in high-risk geographies and what that means for multinational luxury groups.Rachel shares an overview of regulatory requirements implem

Season 12, Episode 4: Basel 3 Endgame: where do we stand?

Oct 10 2024 25 mins  
In the fourth episode of Season 12 of Compliance Clarified, Todd Ehret, senior regulatory intelligence expert, is joined by Henry Engler for an insightful discussion on the Basel III endgame.Basel III was originally developed in response to the financial crisis of 2008- 2009. The Basel Committee for Banking Supervision finalization of Basel III, known as Basel III endgame, introduc

Season 12, Episode 3: Recapping the ACAMS Las Vegas 2024 Conference with veteran AML reporter Brett Wolf

Oct 03 2024 32 mins  
In the third episode of Season 12 of Compliance Clarified, Todd Ehret, senior regulatory intelligence expert, is joined by Brett Wolf for an insightful discussion on his takeaways from the recent ACAMS conference in Las Vegas.Brett Wolf is an award-winning journalist and our resident expert on AML, financial crime, and sanctions for Thomson Reuters Regulatory Intelligence.Brett sha

Series 12, Episode 2: Methane and the looming regulatory and reputational risks for Banks, asset owners

Sep 26 2024 18 mins  
In this episode Lindsey Rogerson and Rachel Wolcott, senior editors in London discuss the growing risk – both reputational and regulatory for financial firms invested or lending to methane-intensive corporates. Methane has 28 times the warming effect of CO2. The two main sources of man-made methane are agriculture and fossil fuels, and increasingly lawmakers are pushing responsib

Series 12, Episode 1: Unpacking the UK FCA’s approach to Freedom of Information Act compliance

Sep 19 2024 42 mins  
In this episode, Lindsey Rogerson and Rachel Wolcott, senior editors for Regulatory Intelligence in EMEA discuss the UK Financial Conduct Authority’s (FCA) approach to Freedom of Information Act (FOIA) compliance.In the UK, most public bodies are subject to FOIA. That means members of the public can request information held by public authorities or by persons providing services t