Following the Rules

Oct 28 2024 71 ep. 34 mins 11

Following the Rules Podcast artwork

An insider’s guide to the laws dictating life within UK and EU financial services, the people influencing their development and policing finance workers’ compliance

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Natixis' Britt Johnston and portfolio NED Tina Mavraki on the common mistakes finance bosses make when addressing conduct failings, and how regulators can stop cultural 'window dressing'

Oct 28 2024 35 mins

Today’s guests outline where financial institutions are going wrong in their efforts to address their cultural shortcomings. They discuss the practical steps that those managing finance workers can take to meaningfully improve the culture within their organisations and they outline how regulators could best support their efforts. They also explain how such changes, and the cultur

Former Standard Chartered global surveillance chief Emily Wright on banks' surveillance blind spots and how best to monitor them

Oct 14 2024 34 mins

Today’s guest outlines how she expects regulators to push financial institutions to keep better track of their employees’ behaviour. She discusses how finance firms should be modernising their staff surveillance programmes in response to this regulatory focus and explains how those tasked with monitoring finance workers’ behaviour can best encourage their bosses to spend the

Special episode: Smarsh's Brandon Carl on the technology, regulatory challenges and industry trends shaping the future of communications surveillance

Sep 30 2024 42 mins

Today’s episode is a special one produced in association with Smarsh, a global technology firm providing financial services companies with the tools to capture, store, and monitor their communications. Today’s guest discusses how financial institutions are changing their communications surveillance programmes in response to an increasing regulatory focus on this space. He deta

Conor Sewell, former Treasury advisor now Forefront Advisers director, outlines what City bosses and their regulators should expect under Labour

Sep 16 2024 37 mins

Today’s guest discusses how he expects the Labour administration will prioritise a long list of pending financial services reforms inherited from the previous government. He explains how such a reform programme could be interpreted to provide City bosses with the clarity they seek as to how the government will address perceived tensions between its planned pro-growth agenda and i

PRA CEO Sam Woods on life at the helm of the UK's top finance regulator and his regulatory priorities for 2024 and beyond

Sep 02 2024 43 mins

Today’s guest outlines what’s to come in a new package of tougher global capital requirements known as Basel 3.1. He explains how banks can best prepare for the reforms and discusses the prospects of a delay to their implementation in the UK. He outlines how the Prudential Regulation Authority is responding to a new obligation to consider the impact of their activities on the U

Former FCA CRO Gavin Stewart on the compliance risks that City watchdogs may have missed, and how UK regulation and regulatory operations should be improved

Jul 22 2024 37 mins

Today’s guest explains why the UK could be sleepwalking into a new compliance scandal, and he details where such a blow-up might originate. He outlines how he believes financial services regulation could be improved – both by policymakers in government and the regulators themselves. And he details what opportunities for financial services reforms he believes the new Labour gove

Special episode: Symphony's Ben Chrnelich maps out the future challenges and trends in communications surveillance

Jul 15 2024 29 mins

Today’s episode is a special one produced in association with Symphony, a secure and compliant communications and technology platform built for financial markets & trading teams. Today’s guest details how bosses at some of the world’s largest financial institutions are responding to increasing regulatory pressure to keep track of their employees’ communications across m

Hanbury Strategy's Sander Schol on the likely future for the City and its regulators under a Labour government and how a new approach to UK-EU relations could benefit financial services

Jul 01 2024 27 mins

With just days to go until the UK goes to the polls, today’s guest outlines what City executives can expect from a Labour administration. He discusses how he expects the relationship between the new government and finance watchdogs to develop and why regulators may well see a new secondary objective land on their plate. He also details how he believes relations between the UK and

Federated Hermes' Saker Nusseibeh on the need for less political ambivalence towards the City, and how fund managers and regulators could rethink their approach to ESG

Jun 24 2024 37 mins

Today’s guest calls on politicians on both sides of the UK’s political spectrum to reconsider their ambivalence towards the City and to do more to promote its achievements in the run up to next month’s election and beyond. He outlines where fund managers and regulators may want to rethink their approach to investments within the environmental, social and governance space. He

Former FCA chair Charles Randell, Latham & Watkins' Mark Austin, QCA's Linda Main and Baroness Bowles on what lawmakers, regulators and City execs need to do to help London's capital markets thrive

Jun 10 2024 41 mins

Today’s episode is a recording of a recent panel discussion at the annual conference for the Quoted Companies Alliance, which is an organisation that campaigns for the UK’s community of small and midsized publicly traded businesses and the firms that advise them. I was invited to moderate a panel on what more our regulators can do to support capital markets for companies of all