Following the Rules

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 broadly in the face of shifting political and market dynamics. 
 
Richard Moriarty’s career spans three decades and includes stints as CEO of the UK’s Civil Aviation Authority and as partner at political risk consulting firm Flint Global. In October 2023, he took over as CEO of the Financial Reporting Council.
 

Today’s guest discusses how lawmakers and financial services executives can best support the global transition to a net zero economy. She offers her views on how UK policymakers could encourage more companies to list in London.
She outlines how she believes the investment management industry should approach international investment decisions over the long term, and navigate upcoming and increasing geopolitical tension and political uncertainty globally.
She also offers advice on how to get comfortable being “the only woman in the room” in a male-dominated industry.
And she should know. Because over the course of a 23-year career, Sonja Laud has held several senior roles within the asset management industry including a stint as head of equity at Fidelity International. Since 2019, she has worked as Chief Investment Officer at Legal & General Investment Management.

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 operational resilience and promote good conduct amongst their staff.
He explains why one particular compliance tool is proving especially effective in helping firms promote good behaviour amongst their workforce and outlines how some finance bosses are starting to push back on regulators’ aggressive record-keeping clampdown.
He also offers guidance on how financial institutions can best use technology to address their emerging compliance risks, including a check list of essential questions he believes everyone should ask any prospective regulatory technology provider.
Alex Viall is the Chief Strategy Officer at Global Relay.

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 outlines how finance giants’ government affairs heads can best navigate these upcoming elections (and a potential return of President Trump).
And calls on politicians to avoid “political point scoring” in the run up to both votes.
Lisa Rabbe has spent more than three decades guiding some of the world’s largest financial institutions through regulatory and policy changes affecting their businesses. Her career includes stints as head of government affairs for Europe, Middle East and Africa at US giant Goldman Sachs and Chief Government and Public Affairs Officer at credit rating agency Moody’s.

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 regulatory focus on City workers’ behaviour in and out of the day job is changing their bosses approach to capturing and monitoring their communications. And he details how firms are using new technology to address compliance pain points when dealing with communications supervision.   
Rob Mason is director of regulatory intelligence at Global Relay.

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 senior risk, audit and compliance professionals should navigate today’s job market and changing work environment, and plenty more besides.
Alex Keetch is Managing Director at Halsey Keetch, an executive search firm that specialises in placing senior leaders onto financial services company boards and within their risk, compliance, financial crime, and internal audit departments.

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 clampdown on bankers’ WhatsApp use, as seen in the US, is unlikely to be copied by UK watchdogs. And she details how a regulatory crackdown on City workers’ behaviour outside of the day job is influencing their bosses approach to capturing and monitoring their communications.
Jennie Clarke is head of content at Global Relay.

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 believes will be this year’s most pressing challenges for compliance professionals tasked with monitoring their employees’ communications.
As part of that, he offers guidance to compliance teams navigating the rapid proliferation of AI tools within the financial services sector, as well as to those responding to regulatory pressure to more closely track their employees’ use of encrypted messaging apps like WhatsApp, Signal and Telegram.
He also details how he expects communications surveillance compliance will develop in response to the challenges 2024 brings. And plenty more besides.
Shaun Hurst is Smarsh’s principal regulatory advisor for Europe, the Middle East and Africa.
 

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 required for future compliance officers to succeed.
She also shares her insight on how best to navigate guidance from the Financial Conduct Authority.
And she should know. As Tracey McDermott spent 15 years at the City watchdog including 10 months as its acting CEO before joining global banking group Standard Chartered in 2017 as its group head of corporate, public and regulatory affairs. In 2018, she took on responsibility for the bank’s compliance function and since 2019 she has worked as Standard Chartered’s group head of conduct, financial crime and compliance. She also plays an influential role in several industry reform initiatives which she details in the upcoming episode. 

 
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 possible.
Jon McLeod has spent 26 years advising businesses and their bosses on political relations, corporate governance, and reputation management. His career includes stints as head of public affairs at lobbying group Brunswick and as chair of communications giant Weber Shandwick’s UK corporate, financial and public affairs practice, and of its Manchester office. Since 2021, he has worked as a partner at the communications consultancy DRD Partnership where he leads its competition and anti-trust practice.