Following the Rules is an insider’s guide to the laws and regulations shaping UK and EU financial services. Host Lucy McNulty explores the people influencing how these rules are developed and how finance workers are held to compliance. The show breaks down the practical impact of regulatory change on firms and individuals across the sector.
Episodes
How to stop regulators becoming too close to the industries they oversee with LSE's Alex Chesterfield and Tom Reader
What happens when regulators become so close to the industries they oversee that they stop questioning the assumptions those industries make?
It's a risk that goes well beyond lobbying or conflicts of interest. Regulators can gradually adopt the perspectives of the firms they're supposed to scrutinise, until protecting the industry's interests starts to feel indistinguishable from serving the publ
Special episode: How to future-proof communications compliance in the age of AI with Smarsh's Kim Crawford Goodman
Today’s episode is a special one. It’s brought to you in partnership with Smarsh, the technology firm that helps regulated organizations of all sizes, including financial institutions, capture, govern, and monitor their communications.
This episode forms part of a Following the Rules series, focused on practical guidance for firms navigating legal, regulatory and technological change.
Today we're
Former regulator and JP Morgan regulatory affairs head Sally Dewar outlines how to manage compliance risk, get individual accountability right and build a simpler regulatory regime
Today’s guest warns that financial services’ boards that place too much emphasis on compliance risk making their firms less well governed, by crowding out strategic debate and encouraging executives to focus on proving they have ticked the right boxes rather than exercising good judgment.
She also makes the case for preserving the UK’s Senior Managers and Certification Regime, arguing that disman
How to prepare your firm for UK crypto authorisation with the Financial Conduct Authority's Dominic Cashman
The UK crypto industry is approaching a fundamental regulatory shift. Firms that have operated under relatively limited oversight by the UK’s Financial Conduct Authority are preparing to become fully regulated financial services businesses, bringing much broader expectations around governance, consumer protection, capital and conduct.
Today’s episode is part of a Following the Rules series deliver
DFSA’s Mark Steward on rethinking AI regulation, repricing conflict in the Middle East and safeguarding Dubai’s growth
Today’s guest cautions that regulators face a growing gap in understanding and managing the scale and complexity of AI risks and asks whether traditional, technology-neutral regulation can keep pace as adoption accelerates.
He also discusses how Dubai International Financial Centre is weathering conflict in the Middle East. Firms and capital continue to flow into the Centre, but he says that the i
How to build better regulators with former Bank of England and FCA executives Lyndon Nelson and Gavin Stewart
Regulation has never been under greater scrutiny. Around the world, governments are asking regulators to support growth and innovation while continuing to protect consumers, preserve financial stability and prevent the next crisis, and increasingly, to do all of it at once, as if the trade-offs between them didn't exist.
Today’s episode is part of a Following the Rules series delivering practical
Special episode: How to unlock AI innovation without losing control with Smarsh's Goutam Nadella
Today's episode is a special one, produced in association with Smarsh, a technology firm that helps financial institutions capture, govern and monitor their communications.
This episode forms part of our Following the Rules: How To series, focused on practical guidance for firms navigating legal, regulatory and technological change.
Today we're discussing Smarsh's new 2026 AI Trends Study, conduct
How to rewire UK financial regulation for growth with the PRA's David Bailey, FCA's Kate Collyer, former City minister John Glen, shadow City minister Mark Garnier and New Financial's Max Bierbaum
Today’s episode is a little different to normal. It’s a recording of a panel discussion I was Invited to moderate a recent event convened by the Managed Funds Association or MFA, the global trade body for the alternative asset management industry, and organised by POLITICO.
The discussion brought together senior figures from across financial services, regulation and policymaking to explore one of
Nomura's Chris Barlow on taking politics out of regulation, preparing compliance for the future and building the right culture
Today’s guest argues that one of the biggest risks facing financial services isn’t market volatility or even regulatory complexity. It’s the growing politicisation of the rulebook around the world.
As geopolitical tensions rise and regulatory regimes increasingly diverge, he warns that firms are being forced to navigate a world where consistency and predictability can no longer be taken for grante
How to ensure your insurance reflects your risk profile with Willis’ Claire Nightingale, Paul Search and Andrew Hill
Today’s episode is produced in association with Willis, one of the world’s leading risk advisory, broking and solutions businesses.
It is also part of a Following the Rules series delivering practical guidance on navigating legal, regulatory, technological and cultural change.
Insurance has traditionally been viewed as a way of transferring risk. But for financial institutions facing rising regula
How to use training to reduce toxic workplace behaviour
Today’s episode is part of a Following the Rules series exploring how financial institutions can navigate legal, regulatory, technological and cultural change in practice.
In this episode, we look at why traditional approaches to compliance training are increasingly falling short in a regulatory environment focused on culture, conduct and behavioural risk.
Against this backdrop, firms are now faci
How to succeed as a Chief Compliance Officer in today’s markets with compliance and risk strategists Natalie McManus-Barnett and Jennifer Geary
Today’s episode is part of a Following the Rules series delivering practical guidance on navigating legal, regulatory, technological and cultural change.
In this episode, we turn to a role that has quietly but fundamentally shifted over the past decade: the Chief Compliance Officer. Once seen primarily as a control function, compliance is now expected to sit at the centre of strategy, shaping deci
Former Goldman’s compliance exec Mark Taylor on fixing accountability in banking, and why banks still get the basics wrong
Today’s guest argues that after decades of regulatory expansion, compliance is still failing at the basics. From incomplete client records to fragmented legacy systems, he warns that poor data remains one of the industry’s most persistent, and underestimated, risks.
He challenges the industry’s growing reliance on process, questioning whether accountability regimes and surveillance have come at th
Special episode: How to modernise voice surveillance for today’s markets with Smarsh's Eric Wiggins and Shaun Hurst
Today’s episode is a special one, produced in association with Smarsh, an AI technology firm providing global financial institutions with tools to capture, store and monitor their communications across 100+ channels.
This episode is part of our ‘Following the Rules: How To’ series, focused on practical guidance for firms navigating legal, regulatory and technological change.
In this episode, we t
Former insider trader Tom Hardin on the blind spots in finance’s fight against market abuse
Today’s guest is better known to the FBI as ‘Tipper X’, a former hedge fund analyst who became a key cooperating witness in the largest insider trading enforcement sweep in a generation, helping authorities bring cases against more than 80 individuals.
In this episode, he explains why market abuse is rarely a single rogue act. Instead, it’s an incremental process, driven by performance pressure, n
FCA deputy CEO Sarah Pritchard on the regulator's to-do list as it navigate new rules, new risks and "uncertain" times
Today’s guest sets out the Financial Conduct Authority’s to-do list for 2026 and beyond.
She details the watchdog’s plans to future-proof UK financial regulation, and outlines what City firms should expect as landmark reforms, including new rules on non-financial misconduct, begin to bed down.
She discusses the FCA’s efforts to build a more open relationship with financial institutions and explain
How to handle non-financial misconduct without damaging organisational culture, with former Standard Chartered surveillance chief Emily Wright and conduct risk consultant Emma Parry
Today’s episode is part of a Following the Rules series delivering practical guidance on navigating legal, regulatory, technological and cultural change.
In this episode, we turn to one of the most challenging and fast-evolving areas of regulatory focus: non-financial misconduct. With the UK’s Financial Conduct Authority set to introduce new rules this year that explicitly bring serious non-financ
Special episode: How to modernise trader voice technology to better meet today's regulatory demands with Symphony's Ben Chrnelich and Antoine Stephen
Today’s episode is a special one produced in association with Symphony, a secure and compliant communications and markets technology provider, offering messaging, voice, directory and analytics for financial markets and trading teams.
It also forms part of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for n
FRC CEO Richard Moriarty on cutting red tape, calling time on “dumb” compliance checklists and futureproofing the accounting watchdog without the legislative powers he was promised
Today’s guest is leading the UK’s audit regulator through reform without the legislative powers originally promised. Two years into the job, he argues the Financial Reporting Council is acting anyway, using proportionate, common-sense regulation to support growth and investment.
He sets out a pragmatic agenda for keeping UK audit credible and relevant, covering everything from market concentratio
Special episode: How to prepare for the next wave of crypto regulation
Today’s episode is part of a special series of Following the Rules, produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
The series offers practical insights to help firms navigate legal, regulatory, technological and cultural change.
Today, we’re examining one of the most complex shifts in modern f
Market Structure Partners' Niki Beattie on why, and how, we need to rethink how markets work
Today’s guest delivers a blunt warning to policymakers, arguing the UK has made “a massive mistake” by failing to stop trading venues from charging for market data - a failure she says has weakened the country’s competitiveness. She calls on the government to “wake up and listen” to the scale of the issue or risk losing ground to rival financial centres.
She also argues that the industry’s fixatio
Special episode: How to navigate a dawn raid with the SFO's Emma Isaac and Simmons & Simmons' Camilla de Silva
Today’s episode is part of a special series of Following the Rules produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
The series offers practical insights to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we’re diving into one of the m
Graham Kent, Deutsche Bank's Group Chief Compliance Officer, on the compliance challenges shaping the industry’s future
Today’s guest outlines how the accelerating pace of regulatory change poses significant challenges for global financial institutions. He highlights that fragmentation can create a complex landscape for banks’ compliance divisions, and underscores the benefits of adopting a more coordinated, risk-based approach to rulemaking.
He also discusses how the industry could best evolve the traditional thre
Special episode: How to cut red tape for financial leaders while raising conduct standards with Penny Miller and Andrea Finn of Simmons & Simmons
Today’s episode is part of a special series of Following the Rules produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
The series offers practical insights to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we explore two closely-linked
Special episode: How to master compliant voice surveillance in financial services with Smarsh’s Ryan Kahan
Today’s episode is a special one produced in association with Smarsh, a technology firm providing global financial institutions with the tools to capture, store, and monitor their communications.
It’s part of a new Following the Rules series providing practical guidance to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we look at a ho
Special episode: How to future proof your business with Charlotte Stalin and Sarah James of Simmons & Simmons
Today’s episode is a special one produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
It also forms part of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for navigate legal, regulatory, technological, and cultura
FCA’s Charlotte Clark on the firms ‘over-interpreting’ Consumer Duty, how the watchdog plans to help City firms navigate compliance, and its role in supporting firms through rapid AI adoption
Today’s guest discusses how some wholesale financial institutions may be unnecessarily “gold-plating” their efforts to comply with the Financial Conduct Authority’s Consumer Duty regime.
She details how the regulator plans to both clarify and simplify its expectations of all firms subject to the far-reaching ruleset.
She also discusses the FCA’s plans to help firms, both large and small, navigate
Special episode: How to track non-financial misconduct within your business with Smarsh's Shaun Hurst and former Standard Chartered surveillance chief Emily Wright
Today’s episode is a special one produced in association with Smarsh, a technology firm providing global financial institutions with the tools to capture, store, and monitor their communications.
It also marks the launch of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for navigate legal, regulatory, technolog
Mark Watson, SVB’s former management governance head, on the crisis policymakers, regulators, and financial institutions are sleepwalking into and how to avoid it
Today’s guest outlines where governments and financial regulators are going wrong in their supervision of the sector.
He details where he sees potentially systemic risks mounting and he explains what banks, financial institutions and their supervisors can do now to prevent a significant blow-up from occurring on their watch.
Mark Watson is a governance and risk expert whose three-decade career inc
FMSB CEO Myles McGuinness on his plans to help the City tackle non-financial misconduct, and bolstering the standard setters' future in an increasingly polarised world
Today’s guest explains why global standards for financial conduct could help counter the risk of rising regulatory fragmentation - providing, as he puts it, “the glue to hold diverging rule books together.”
He outlines how a robust governance framework could help financial institutions better tackle toxic workplace behaviour. He explains why he believes a central repository for authenticated data
Jillien Flores of the Managed Funds Association on how rulemakers can best rethink overly-onerous regulations for alternative asset managers, and the "misguided" policies they should avoid
Today’s guest calls on regulators and policymakers to stop seeking to regulate alternative asset managers like they’re banks.
She details how policymakers can best rethink the regulatory framework for the non-bank sector to benefit not only alternative asset managers but also the financial sector more broadly.
And she explains how a push to harmonise the rulebooks between competing financial hub c
Edwin Schooling Latter, ex-FCA regulator now Mizuho's UK compliance head, on the reforms that could unlock "big savings" and the lessons we missed from recent failures of major financial institutions
Today’s guest pinpoints the “very technical” but overly complex regulatory requirements underpinning financial markets that he believes regulators could rethink to generate “big savings” for both themselves and the market participants they oversee.
He discusses the lessons he would like to see industry players take on board and the changes he believes policymakers should consider in their efforts
ESMA chair Verena Ross on her to-do list for 2025, simplifying the EU financial rulebook, and life at the helm of the watchdog
Today’s guest discusses the European Securities and Markets Authority’s to-do list for 2025, and she explains the regulator’s priorities as it responds to an EU-wide effort to simplify the bloc’s rulebook.
She outlines ESMA’s expectations of market participants subject to its landmark reforms on digital operational resilience and crypto-assets and she details how she plans to make sure both regime
Capstone's Mathew Gilbert on navigating Trump 2.0, and the regulatory changes needed to drive "tangible" growth in the UK and EU
Today’s guest outlines how he expects financial services regulators in the UK and European Union to react to President Trump’s increasingly erratic policymaking.
He details the regulatory changes he believes are needed to ensure the UK government achieves its growth mission and he highlights what Brussels must get right if the EU is serious about remaining globally competitive.
He also explains wh
Governance expert Vera Cherepanova on why ethics and compliance professionals need a more influential voice in the boardroom, and the obstacles standing in their way
Today’s guest is on a mission to bring ethics and compliance to the top table.
She explains why ethics and compliance professionals should be given a seat in the boardroom and what’s stopping them from getting there.
She also discusses how businesses and their compliance executives can best navigate today’s increasingly fragmented regulatory environment, and she shares practical steps boards ca
TP ICAP's Nik Bunney on rethinking surveillance at the world’s largest interdealer broker and what the City needs from the FCA on non-financial misconduct
Today’s guest explains how the world’s largest interdealer brokers is rethinking its approach to surveillance.
He outlines the benefits of adopting a more behaviourally led methodology to monitor financial services workers’ conduct, which he says provides a more holistic view of workplace culture when run alongside traditional surveillance.
He details the common mistakes finance bosses should avo
Melissa Gallagher, JP Morgan's EMEA head of compliance, on future-proofing the back office amidst technological and regulatory change
Today’s guest outlines how the compliance function, and those working within it, can best navigate today’s rapidly changing technological and regulatory environment.
She discusses the industry's response to increasing regulatory scrutiny around surveillance as well as on bankers’ non-financial misconduct.
And she explains why in amongst all the change it is critical that compliance officers do n
Alan Houmann, Citigroup's former government affairs head in Emea, on navigating rising populism and what not to do in response to "disturbing" government policies
Today’s guest outlines how he expects the rightward shift in global politics, from Trump’s resurgence to Europe’s own populist movements, is likely to reshape financial services regulation in the UK and EU.
He discusses how bank lobbyists and policymakers can navigate these shifting tides, why the industry’s “disturbing” response to the US ban on federal diversity and inclusion programmes must s
London Stock Exchange CEO Julia Hoggett on the changes needed to boost the City and its capital markets
Today’s guest outlines why she believes the government’s efforts to boost the UK’s economic growth are more likely to succeed if they include a fundamental shift in how the City talks about its capital markets and a rethink of how the City’s regulators are incentivised to support the growth mission.
She also discusses the remaining regulatory steps needed to encourage more retail and domestic pa
Special episode: Smarsh's Kim Crawford Goodman and CallCabinet's Ryan Kahan on the regulatory trends set to shape communications surveillance in 2025
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing financial services companies of all sizes around the world with the tools to capture, store, and monitor their communications.
Today’s guests discuss the regulatory priorities they believe will have the greatest influence on financial institutions’ communications surveillance programmes in 20
FCA CEO Nikhil Rathi on his to-do list for 2025, the regulator's future, and life at the helm of the City watchdog
Today’s guest discusses the Financial Conduct Authority’s to-do list for 2025 and outlines what City firms should and should not expect from the regulator as it seeks to prioritise growth and competitiveness in the coming months.
He details the challenges commensurate with this new approach that he would like lawmakers to be more aware of.
He also opens up about life at the helm of the City watch
IA's Chris Cummings calls on lawmakers and regulators to agree a 'common vision' with the investment management sector and outlines the rules that must be cut in the drive to boost UK growth
Today’s guest calls on the government and City regulators to agree a “common vision” with the investment management industry to better enable those working in the sector to generate long-term growth in the UK.
He details the areas where he believes the Financial Conduct Authority “still needs to demonstrate that they have completely understood” the government’s drive to make the UK a more attract
Behavioural risk experts Dr. Wieke Scholten and David Grosse outline where the banking sector and its regulators are going wrong in their approach to managing their cultural concerns
Today’s guests explain where they believe banks and their regulators are going wrong in their efforts to “fix” the sector’s cultural issues.
They detail how lawmakers, financial bosses and their supervisors can best ensure that ongoing and increasing efforts to loosen rules governing behaviour in the industry don’t lead to a repeat of previous banking crises.
And they outline why they believe it
UK Finance's David Postings on what should follow the government's drive to bolster the City's growth and competitiveness, and why it's time for Meta to step up its efforts to combat fraud
Today’s guest discusses how finance executives and their regulators can best support the government’s efforts to drive growth and competitiveness in the UK’s financial services sector.
With that in mind, he outlines why he believes it is important to debate whether the Financial Conduct Authority has taken the right approach in its recent efforts to better protect UK consumers.
And he calls ou
Special episode: Smarsh's Shaun Hurst and Paul Taylor on the mistakes finance bosses are making in their efforts to better track non-financial misconduct within their workforce, and how to avoid them
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing global financial services companies with the tools to capture, store, and monitor their communications.
Today’s guests discuss how organisations are responding to increasing regulatory pressure to improve their awareness of any non-financial misconduct occurring within their workforce.
They
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'
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 cultural improvements de
Former Standard Chartered global surveillance chief Emily Wright on banks' surveillance blind spots and how best to monitor them
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 money required to ensu
Special episode: Smarsh's Brandon Carl on the technology, regulatory challenges and industry trends shaping the future of communications surveillance
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 details how generative A
Conor Sewell, former Treasury advisor now Forefront Advisers director, outlines what City bosses and their regulators should expect under Labour
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 its commitments to
PRA CEO Sam Woods on life at the helm of the UK's top finance regulator and his regulatory priorities for 2024 and beyond
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 UK’s growth and compe
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
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 government should priori
Special episode: Symphony's Ben Chrnelich maps out the future challenges and trends in communications surveillance
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 myriad messaging platform
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
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 the European Unio
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
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 also explains how fina
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
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 sizes and we discus
Schroders' Jamie Ovenden, Julius Baer's Sarah Gadd, Slaughter and May's Jan Putnis and Turing fellow Professor Carsten Maple on how the City and its watchdogs can responsibly harness GenAI's potential
Today’s episode is a little different to normal. It is a recording of a recent panel discussion from City Week’s AI in Financial Services Leaders Summit which took place in London last week.
I was invited to moderate a panel on the transformative potential of generative AI and we discussed interesting use cases for genAI in the financial services space, how boards and senior managers can best mana
FRC CEO Richard Moriarty on the highs and lows of his role and his plans to make the accounting watchdog "more strategic"
Today’s guest outlines how he is shaping the Financial Reporting Council into a “more strategic” organisation focused on proportionate oversight of auditors, accountants and actuaries.
He explains what support he needs from lawmakers and industry as he navigates that task, alongside setting standards and codes in the public interest, and discusses the FRC’s changing regulatory priorities more b
LGIM's Sonja Laud on boosting London's IPO market, navigating Trump 2.0 and being 'the only woman in the room'
Today’s episode has been produced in partnership with City Week, an annual agenda-setting international financial services forum which brings together more than 1,000 senior decision-makers from UK and overseas financial institutions for a comprehensive programme of cutting-edge presentations, panel discussions, social events and networking.
Today’s guest will be speaking at City Week on the growt
Special episode: Global Relay's Alex Viall on the compliance tool helping finance bosses to better police their employees' use of unmonitored communications channels
Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
Today’s guest discusses how financial institutions in the US and UK are responding to regulatory pressures to more closely track their employees’ communications, as well as to foster
Government affairs guru Lisa Rabbe on what to expect from Trump 2.0, and how lawmakers and finance workers can best navigate 2024's mega election year and the AI technological revolution
Today’s guest discusses the policy and regulatory outlook for artificial intelligence in the US, UK and EU and outlines how policymakers, regulators and City bosses can best manage the risks arising from the financial industry’s increasing use of AI technology.
She details the policies that she would like politicians in the US and UK to prioritise ahead of elections in both jurisdictions.
She out
Special episode: Global Relay's Rob Mason outlines how finance bosses and their regulators are preparing for an expected clampdown on employees’ social media use
Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
Today’s guest outlines how financial services companies and their regulators are preparing for an expected clampdown on employees’ social media use. He outlines how an increasing regu
Halsey Keetch's Alex Keetch outlines how finance bosses and those running their control functions can best navigate opportunities and challenges in today's job market
Today’s guest outlines how finance bosses can best support those running their risk, audit, and compliance functions to avoid serious disruptions in future.
He cautions that without such investment in their governance, regulatory and controls functions, financial institutions risk inducing regulatory fatigue and provoking “flight risk” amongst valued senior staff.
He also details how he believes s
Special episode: Global Relay's Jennie Clarke on the surveillance blind spots that could lead to compliance blow-ups at global finance firms
Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
Today’s guest highlights the surveillance blind spots that pose “massive” compliance risks to large sections of the financial services industry. She explains why an aggressive clampdo
Special episode: Smarsh’s Shaun Hurst on the compliance challenges ahead for those monitoring finance employees’ communications
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing regulated organisations of all sizes with cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines.
Today’s guest details what he believe
Tracey McDermott, former FCA boss and Standard Chartered's compliance chief, on UK regulators' diversity and inclusion push and how AI is changing the role of compliance
Today’s guest discusses UK regulators’ recent proposals to foster diversity and inclusion in the City, including the aspects of the measures she would like to see given more consideration and the role finance bosses must play to ensure the initiative’s success.
She details how AI tools are being used to adapt the role of the compliance officers she manages and the skillset she believes will be re
Political lobbyist Jon McLeod on a Labour government’s regulatory priorities for financial services and the City reforms the current government should avoid.
Today’s guest outlines the three financial services reforms he expects the next government will prioritise. He details where he believes this government has gone wrong in its efforts to establish the UK as a thriving investment hub post-Brexit, and he explains what changes to the financial services sector he believes this government should avoid in order to keep the City as competitive as possib
Citi UK CEO Tiina Lee, Nationwide CEO Debbie Crosbie and Howden CAP’s executive chair Mary O’Connor outline how finance companies can best set, monitor and promote their purpose as an organisation
Today’s episode is a little different to normal. It is a recording of a recent panel discussion from City & Financial Global’s ninth annual 'Culture and Conduct Forum for the Financial Services Industry'. I was invited to moderate a panel on moral capitalism and we discussed how financial services can best link their profits with their purpose, how the newest intake of graduates are influencin
StepChange’s Peter Tutton on the changes that UK lawmakers, regulators and finance bosses should implement to help the country better navigate the cost-of-living crisis
Today’s guest outlines what UK lawmakers have missed in their efforts to address the fallout from the cost-of-living crisis. He details what policy changes the next government should prioritise to prevent long-term damage arising from the aftermath of the crisis. And he explains how the Financial Conduct Authority’s new consumer-focused rules should best be implemented to support financial service
John Howells, CEO of LINK, outlines how lawmakers and regulators can best prepare the UK for a move to a digital economy
Today’s guest outlines how the UK can best prepare for a move to a cashless society. He calls on lawmakers to do more to guide those uncomfortable with that move through the transition to a digital economy and explains why any such digital inclusion programme must start with a clampdown on the UK’s “big” digital fraud problem.
John Howells is a former banker and consultant who has run the UK’s cas
Activist Mark Bishop outlines why a more consumer-led approach to UK regulation would benefit financial services workers
Today’s guest outlines why consumer advocacy should matter to those working in financial services and how those in the sector who agree can best get their voices heard.
He details what he would like to change about the UK markets watchdog the Financial Conduct Authority and UK regulation in general. And he discusses why he believes a “derisory” compensation package has been offered to investors wh
Special episode: Smarsh’s Tom Padgett maps out how finance bosses, compliance professionals and regulators can best navigate the new world of AI
Today’s episode is a special one produced in association with Smarsh, a US-headquartered technology firm providing global financial services companies with the tools to capture, store, and monitor their communications.
Today’s guest outlines how he expects the rise of artificial intelligence tools to change the way in which financial institutions’ run their compliance divisions and how compliance
Rachel Kent, government adviser and Hogan Lovells partner, calls on City executives to do more to help lawmakers in their efforts to future-proof UK finance
Today’s guest calls on City executives to play a more proactive role in guiding regulators and policymakers in their efforts to both future-proof and foster competition within the UK’s financial services sector.
She discusses how she believes the UK’s financial sector and its regulators can best navigate the vast programme of regulatory change derived from such efforts to bolster the City post-Bre
Investment banking veteran Craig Coben on the issues City regulators should prioritise to strengthen London as a financial centre
Today’s guest discusses why he believes London has lagged other financial centres in recent years. He outlines the issues within UK financial services he believes City watchdogs should prioritise to strengthen London as a financial centre and as a listing exchange amid what he sees as a post-Brexit crisis of confidence.
He also details what measures policymakers can take to boost London’s appeal a
Matthew Nunan, former FCA head of enforcement now Gibson Dunn partner, calls on the regulator and the SFO to start working better together
Today’s guest outlines the changes he believes are necessary to future-proof both the UK’s finance regulator the Financial Conduct Authority and the country’s top prosecution agency the Serious Fraud Office. And explains why it’s vital for the two organisations to begin working together more effectively.
He also discusses how the UK’s accountability regime for senior City staff could be improved,
Former FCA chair Charles Randell on the highs and lows of running the regulator and why he’s focusing now on calling for a government-led strategy to tackle financial exclusion
Today’s guest discusses his tenure as chair of the UK finance regulator the Financial Conduct Authority including his highs and lows in the role, and his advice for those now running the watchdog. He also outlines what unfinished business he had on leaving the FCA, and in doing so explains why “the time is now” for UK policymakers to do more to stamp out financial exclusion in the country.
Charles
UK Finance Academy’s Roger Miles and Slaughter and May’s Jan Putnis on navigating regulators’ myriad expectations on culture and the questions lawmakers need to answer on the City’s future
As UK watchdogs continue their drive to stamp out aspects of poor culture within the financial services sector, those tasked with responding to the many ongoing and upcoming regulatory requirements can easily feel overwhelmed.
Today’s guests outline what financial services bosses and board should do to cut through the regulatory noise while still building ethical organisations, as well as the comm
Revealed: FCA bosses were the subject of 30 internal reports of bullying, harassment, racism and discrimination between 2020 and 2022. What’s next?
Today’s episode is a deep dive into the culture of the UK’s top financial watchdogs: the Financial Conduct Authority and the Prudential Regulation Authority. In it, I reveal that the FCA received 38 allegations of bullying, harassment racism and discrimination taking place within its ranks in 2020, 2021 and 2022, while the PRA received three such reports from amongst its workforce over the same ti
Geopolitics guru Tina Fordham on the changes to come in global market dynamics and how finance execs should respond
Today’s guest outlines how she expects financial services bosses and the policymakers setting their rules will adapt to a “paradigm shift” in global geopolitics that will see China get increasingly assertive, US more protectionist and Russia more aggressive. She details the investment opportunities that she believes will arise from these changes to geopolitical dynamics and the likely regulatory r
Galaxy Digital’s Alex Royle and Goodwin Procter’s Andrew Henderson on the opportunities lawmakers and regulators are missing in the crypto-asset sector
Today’s guests detail the opportunities they believe that lawmakers missed when drafting their plans to regulate crypto-assets in the UK. They explain how financial services regulation could be improved if the industry’s watchdogs did more to integrate technology underpinning crypto-assets into their operations. And they offer advice to compliance and regulatory execs looking to make the jump from
Culture and ethics adviser Roger Steare on the anthropological tools that City bosses should use to spot bad behaviour amongst their workers
Today’s guest outlines what City bosses are getting wrong in their efforts to improve the culture of the organisations under their management. He explains the anthropological tools that financial institutions’ boards and leaders could use to both better understand the causes of - and prevent - bad behaviour amongst their employees. And he outlines how he believes both UK regulators and UK regulat
