Season 10, Episode 9: European Central Bank and EU lawmakers add to sustainability workload for compliance officers
Compliance Clarified
by Thomson Reuters
6d ago
In this episode Lindsey Rogerson, senior editor, is joined by Trond Vagen, senior editor for European Financial Markets Regulation, to discuss the mounting sustainability-related workload for bank and investment compliance officers. Trond discusses the European Central Bank’s (ECB) expectations for banks to accurately assess the climate and environmental risks on their balance sheets. With just nine months remaining before the deadline and the possibility of daily fines, increased capital requirements and a fit and proper assessment for institutions that get it wrong, time is running out. Li ..read more
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Season 10, Episode 7: International Women's Day 2024: Navigating the backlash
Compliance Clarified
by Thomson Reuters
3w ago
Welcome to Compliance Clarified's 100th episode! This week Rachel Wolcott, senior editor and Lindsey Rogerson, senior editor in London speak to a special guest Ann Francke Chief Executive of the Chartered Management Institute in London, a professional body for management and leadership. This International Women's Day podcast looks at the backlash that's hit efforts to get women into the workplace and on an equal footing. We focus on financial services, but this is an issue that reverberates throughout society. In financial services, there has been a backlash against environment, social and go ..read more
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Season 10, Episode 6: Insider dealing lists: lessons from a conviction
Compliance Clarified
by Thomson Reuters
3w ago
In Episode 6 of Season 10, Helen Parry, senior Regulatory Intelligence Expert speaks to Rachel Wolcott, senior editor about the UK Financial Conduct Authority's (FCA) recent success in securing an insider dealing conviction. The FCA's enforcement co-heads—Therese Chambers and Steve Smart --have used this conviction to reassert the regulator's intention to get tough on insider dealing. A previous enforcement head said the same thing in 2015. Rachel asks Helen what is different this time. Helen explains some of the issues the recent conviction raises about insider dealing list management and th ..read more
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Season 10, Episode 5: How Mekong region organized crime built a global cryptocurrency money laundering network
Compliance Clarified
by Thomson Reuters
1M ago
Industrial scale money laundering originating in Southeast Asia's Mekong region has gone global. It's the infrastructure that handles the proceeds of pig butchering scams, child pornography, trade in human body parts, illegal gambling, drug trafficking and people trafficking. Cross-border crime networks fueled by cryptocurrency is linking the world's most dangerous criminals and allowing them to scale up and automate money laundering. This activity is increasingly linked to terrorist financing as well as sanctions evasion. In this episode Helen Chan, Regulatory Intelligence expert joins Rachel ..read more
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Series 10, Episode 4: Bribery and corruption outlook in the U.S. and UK for 2024
Compliance Clarified
by Thomson Reuters
1M ago
Bribery and corruption are set to head the agenda for law enforcers and corporate compliance departments in 2024, with a raft of new statutes and orders making for a particularly demanding environment. The UK's Economic Crime and Corporate Transparency Act, passed in October 2023, is the most important British legal reform on economic crime, fraud, bribery and corruption in more than a century. In the United States, the Treasury Department in December 2023 outlined plans to target corruption in 2024. To mark International Anti-Corruption Day, Treasury published a fact sheet detailing its plan ..read more
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Series 10, Episode 2: The state of sustainability regulation in the U.S. in 2024
Compliance Clarified
by Thomson Reuters
2M ago
In this episode, Lindsey Rogerson, senior editor at Regulatory Intelligence is joined by Henry Engler, senior editor, to discuss what is happening with climate reporting for U.S. financial firms. Uncertainty looms large over sustainability regulation at the Federal level. The possible return to the U.S. presidency of Donald Trump and two cases before the U.S. Supreme Court and their likely effect on climate rules in the financial sector are discussed. At the State level it is a different picture. California lawmakers passing California SB-253 Climate Corporate Data Accountability Act (https ..read more
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Series 10, Episode 1: 10 things compliance officers must consider in 2024 – EU and UK
Compliance Clarified
by Thomson Reuters
2M ago
In this episode, Trond Vagen, European correspondent at Regulatory Intelligence, is joined by Mike Cowan, senior regulatory intelligence expert, to discuss the challenges that face compliance officers in 2024. 2023 was a mix of geopolitical unrest and economic instability. The conflicts in Ukraine and the Middle East continued to influence world economies. The year started with a mini banking crisis as Silicon Valley Bank, First Republic, Signature Bank and Credit Suisse all failed resulting in changes to regulations to prevent future failures. Emerging risks added new dimensions to a compli ..read more
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Series 9, Episode 11: Key takeaways from Week 1 of COP28 for financial firms
Compliance Clarified
by Thomson Reuters
4M ago
The United Nations Conference of the Parties on Climate Change (COP28) is underway in Dubai. Past COPs have led to governmental initiatives that have real consequences for financial services businesses in their day-to-day operations. Transition plans and internationally agreed sustainable reporting standards are two examples of this. In this episode of Compliance Clarified, Alexander Robson, managing editor of Thomson Reuters Regulatory Intelligence, is joined from Dubai by Lindsey Rogerson, senior editor for Thomson Reuters Regulatory Intelligence, to discuss the key initiatives emerging fro ..read more
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Season 9, Episode 10: Cross-border crypto fraud enforcement and the globalization of money laundering as a service
Compliance Clarified
by Thomson Reuters
4M ago
Former crypto chief executive Sam Bankman-Fried's guilty verdict stemming from the FTX fraud and collapse already seems like old news in a period of serious enforcement action related to crypto scams and industry misconduct. This tenth episode of season nine brings together Helen Chan, regulatory intelligence expert in Hong Kong and Rachel Wolcott, senior editor in the UK to unpack themes emerging from recent initiatives from Chinese law enforcement, Europol, and U.S. regulators as well as the Department of Justice and the Financial Crimes Enforcement Network (FinCen). There has been that $4 ..read more
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Season 9, Episode 9: OPBAS plus? UK professional body supervisors and AML supervision reform
Compliance Clarified
by Thomson Reuters
4M ago
This episode features a special guest Michelle Giddings, head of anti-money laundering at the Institute for Chartered Accountants in England and Wales (ICAEW). Giddings joins Rachel Wolcott, senior editor at Thomson Reuters Regulatory Intelligence in London. TRRI usually covers anti-money laundering (AML) strictly from a financial services viewpoint. However, with the focus on accountants' and law firms' role in preventing financial crime like money laundering and sanctions evasion since the advent of the Ukraine war and now the war in Gaza, it is instructive to look at how these professional ..read more
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