Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence

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 is Rachel Kent, Head of Financial Services Regulation at Hogan Lovells. Below are the links mentioned in the podcast together with an article by Rachel on EMIR Edwin Schooling Latter speech https://www.fca.org.uk/news/speeches/forward-look-regulation-uks-wholesale-financial-markets EMIR article FCA to consult on EMIR reporting later in 2021; industry wants more guidance now https://www.linkedin.com/feed/update/urn:li:activity:6780859396474978304/ Landing page for EU/U.S. regulatory forum with minutes https://ec.europa.eu/info/publications/financial-services-regulation-regulatory-dialogues-usa_en Landing page for the EU/Japan regulatory forum with minutes https://ec.europa.eu/info/publications/financial-services-regulation-high-level-meetings-japan_en Further information on Thomson Reuters Regulatory Intelligence can be found herehttps://legal.thomsonreuters.com/en/products/regulatory-intelligence

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.thomsonreuters.com/en/insights/reports/regtech-the-governance-lifecycle A TV slot with Susannah Hammond discussing the regtech governance lifecycle report can be found here - https://cdnapisec.kaltura.com/p/2363721/sp/236372100/embedIframeJs/uiconf_id/47116063/partner_id/2363721?iframeembed=true&playerId=kaltura_player_1615892076&entry_id=1_r79vjq76 You can download the 5th annual Fintech, regtech and role of compliance report here - https://legal.thomsonreuters.com/en/insights/reports/fintech-regtech-compliance-report-2021 Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 Rachel:FCA leadership's post-Gloster clampdown plans, prevention data stay as aspirations for now https://www.linkedin.com/feed/update/urn:li:ugcPost:6777187641088585729/ FCA to develop dashboards; will move uncooperative firms "out of the system far quicker" – CEO https://www.linkedin.com/feed/update/urn:li:activity:6777189844754935808/ Related articles by Lindsey:Andrew Bailey (now governor of the Bank of England, previously CEO of FCA) on Gloster https://www.linkedin.com/feed/update/urn:li:activity:6777193661932425216/ Gloster report findings https://www.linkedin.com/feed/update/urn:li:activity:6777195085495975936/ Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 below articles by Lindsey to learn more about some of the themes discussed: Interview with Lise Kingo, then head of UN Compact - the ‘rhetoric gap’ https://blogs.thomsonreuters.com/answerson/banks-sustainability-un-compact-chief/ Problems for firms due to delay of Level 2 while Level 1 kicks in on time https://www.linkedin.com/posts/lindsey-rogerson-78401916a_firms-facing-sfdr-implementation-headache-activity-6772915745379766272-Z2_y Open hearing on SFDRhttps://www.linkedin.com/posts/lindsey-rogerson-78401916a_data-gaps-principle-adverse-impacts-and-activity-6772916898964344832-QNZo Watch Mike Cowan’s interview on the impact of SFDR here -https://cdnapisec.kaltura.com/p/2363721/sp/236372100/embedIframeJs/uiconf_id/47116063/partner_id/2363721?iframeembed=true&playerId=kaltura_player_1614793534&entry_id=1_xhniz8zc Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 considered together with the renewed political focus on investor protection, payment for order flows and the potential gamification of the market highlighted by GameStop. Articles by Todd Ehret can be found here: 10 regulatory targets in the wake of the GameStop battle - https://www.linkedin.com/feed/update/urn:li:activity:6770029479369695232/ SEC and FINRA warn retail investors - https://www.linkedin.com/feed/update/urn:li:activity:6770434487458254848/ Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 financial services sector. The special report on China and digital transformation in both English and Mandarin can be downloaded here - https://www.thomsonreuters.cn/zh/insights/china-special-report-digital-transformation.html Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 found here - https://legal.thomsonreuters.com/en/insights/reports/five-key-risks-for-firms-in-2021 You can download the 5th annual Fintech, regtech and role of compliance report here - https://legal.thomsonreuters.com/en/insights/reports/fintech-regtech-compliance-report-2021 Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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 governance (ESG), personal accountability, operational resilience and technology, as well as the changes currently taking place within the financial services regulators themselves and their supervisory approach. You can read more about the topics discussed here - https://www.linkedin.com/feed/update/urn:li:activity:6764492132234477568/ - UK lawmakers on narrowing SMCR https://www.linkedin.com/feed/update/urn:li:activity:6764549738726588416/ - PRA SMCR refinement https://www.linkedin.com/feed/update/urn:li:activity:6764548218622742528/ - Outlook 2021 global green taxonomy article https://www.linkedin.com/feed/update/urn:li:activity:6764549027271987200/ - ESMA reverse solicitation article https://www.linkedin.com/feed/update/urn:li:activity:6764547280658948096/ - Outlook 2021 personal accountability article Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence

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.thomsonreuters.com/en/insights/reports/10-things-compliance-officers-need-to-consider-in-2021 You can download the 5th annual Fintech, regtech and role of compliance report here - https://legal.thomsonreuters.com/en/insights/reports/fintech-regtech-compliance-report-2021 The 11th annual cost of compliance survey and snapshot COVID-19 update has already been downloaded 800 times and you can find it here - https://corporate.thomsonreuters.com/Cost-of-Compliance-2020 If you would like to take part, the 12th annual cost of compliance survey is still open - https://survey.clicktools.com/app/survey/go.jsp?iv=1t7w681ck9qegThe 12th annual cost of compliance report will be published in Q2 2021.

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.thomsonreuters.com/en/insights/reports/10-things-compliance-officers-need-to-consider-in-2021 You can download the 5th annual Fintech, regtech and role of compliance report here - https://legal.thomsonreuters.com/en/insights/reports/fintech-regtech-compliance-report-2021 The 11th annual cost of compliance survey and snapshot COVID-19 update has already been downloaded 800 times and you can find it here - https://corporate.thomsonreuters.com/Cost-of-Compliance-2020 If you would like to take part, the 12th annual cost of compliance survey is still open - https://survey.clicktools.com/app/survey/go.jsp?iv=1t7w681ck9qegThe 12th annual cost of compliance report will be published in Q2 2021. Further information on Thomson Reuters Regulatory Intelligence can be found here - https://legal.thomsonreuters.com/en/products/regulatory-intelligence