Following the Rules
Lucy McNulty
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Top 10 Following the Rules Episodes
Goodpods has curated a list of the 10 best Following the Rules episodes, ranked by the number of listens and likes each episode have garnered from our listeners. If you are listening to Following the Rules for the first time, there's no better place to start than with one of these standout episodes. If you are a fan of the show, vote for your favorite Following the Rules episode by adding your comments to the episode page.
John Howells, CEO of LINK, outlines how lawmakers and regulators can best prepare the UK for a move to a digital economy
Following the Rules
10/23/23 • 33 min
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 cash machine network since taking over as chief executive of cash machine provider LINK in 2012. In 2022, he also took on the role of Commissioner for the UK’s Financial Inclusion Commission.
Special episode: Smarsh’s Tom Padgett maps out how finance bosses, compliance professionals and regulators can best navigate the new world of AI
Following the Rules
09/25/23 • 29 min
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 professionals, and the regulators they answer to, can best navigate the new world of AI. In particular, he explains compliance’s role as a critical enabling function for finance bosses looking to capitalise on the opportunities AI offers in a secure way.
Tom Padgett is the General Manager of Smarsh’s Enterprise business, which serves the needs of the world’s largest banks and financial services organisations.
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-Brexit.
And she outlines the mindset shift required to establish yourself as a go-to adviser to governments and lawmakers.
And she should know, because Rachel Kent is a senior financial services lawyer who became one of the City’s most called-upon authorities on financial services reform in the wake of Brexit. She has since been invited to advise on or lead several of the government’s post-Brexit reviews of rules governing the UK financial services sector. She now acts as lead adviser to the government’s Treasury department on financial services matters.
As a senior partner in the global financial institutions group at law firm Hogan Lovells, she advises the largest banks, asset managers, insurers, and financial market infrastructure firms on financial regulation.
Investment banking veteran Craig Coben on the issues City regulators should prioritise to strengthen London as a financial centre
Following the Rules
08/07/23 • 36 min
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 and competitiveness in the lead-up to the upcoming general election.
Craig Coben is a former investment banker with more than 25 years of financial industry experience. He began his banking career at Deutsche Bank in 1997, before moving to Merrill Lynch (now Bank of America) in 2005 where he most recently served as the US bank’s vice-chairman of global capital markets in London and its co-head of global capital markets for its Asia-Pacific region based in Hong Kong. He retired from investment banking in 2022.
Today’s guest outlines where in the financial services sector compliance professionals will be able to find new jobs and salary increases in the coming months, and where we can expect a slowdown in recruitment. He details the common mistake finance bosses make when hiring and promoting back-office expertise and how to avoid them. And he explains why – and how – financial services execs must act now to help close the gender pay gap in compliance.
Jonathan Skerrett is the founder and director at Rutherford, a recruitment firm that specialises in placing compliance officers in roles within the financial services sector.
Lord Holmes, vice-chair of the All Party Parliamentary Group on Fintech, on how the next government should future-proof the City
Following the Rules
10/24/22 • 27 min
Today’s guest explains how he would like to see the UK parliament’s influential Treasury Select Committee change to best regulate new asset classes like crypto. He details the regulatory priorities he believes the next UK government should have to future-proof the UK financial services sector. He also outlines his concerns around the UK markets watchdog’s ability to cope with its ever-expanding to-do list, and outlines how parliamentarians can best address the issue now to help the City remain competitive post-Brexit.
Lord Chris Holmes is an award-winning Paralympian, who has been a Conservative peer in the House of Lords since 2013.
Compliance veteran Antony Whitehouse on the rising risk of a major financial scandal hitting the City and how to avoid it
Following the Rules
10/17/22 • 33 min
Today’s guest explains why the UK’s financial sector could be heading towards another major financial scandal and what City regulators and firms under their remit can do now to prevent such an event from coming to fruition. He outlines how he believes the UK markets’ watchdog’s approach to policing City behaviour must change to better enable finance firms to adhere to their expectations. He also details the compliance challenges that he sees arising from the current cost-of-living crisis and explains how compliance teams should best respond.
Antony Whitehouse is a former regulator at the Financial Conduct Authority’s predecessors and who has also held several senior roles in compliance at some of Europe’s largest banks. A former UK Head of Compliance and Global Head of Fixed Income Compliance at BNP Paribas and UK head of compliance at Natixis, Whitehouse has also spent three years running the influential compliance committee at trade body the Association for Financial Markets in Europe. Since July, Antony has been advising on compliance issues as a consultant at Whitehouse Compliance Advisory.
PwC’s Michael Huertas on the tools EU watchdogs are missing and how Europe’s national regulators are filling in the gaps
Following the Rules
10/03/22 • 33 min
Today’s guest details how European regulators are changing their approach to regulating Europe’s markets and what that means for the financial services firms under their supervision. He outlines the tools Europe’s top finance watchdogs are missing in their efforts to better police European markets, and how he believes national European regulators need to fill the gaps in regulatory expertise created as a result. He also explains why finance bosses should be preparing now for an upcoming set of European accountability rules similar to the UK’s senior managers and certification regime and plenty more in between...
Dr Michael Huertas is Frankfurt-based lawyer whose 14 year career has included stints the European Central Bank and Lloyds Banking Group. Since 2021, he has been advising some og the world’s largest financial services firms as a partner and head of the European financial institutions regulatory group at PwC Legal.
Former regulator and compliance chief Peter Haines on fixing the FCA and managing political interference in UK regulation
Following the Rules
08/29/22 • 28 min
Today’s guest details the problems he sees arising from the City reforms proposed by the candidates vying to become the UK’s new prime minister. He outlines his plans to address the issues he sees at the UK markets watchdog the Financial Conduct Authority. And he explains why he fears that the current drive to innovate compliance could ultimately do more to weaken the function than improve it.
Peter Haines has spent 40 years working for regulators including the FCA’s predecessors and in senior compliance roles at large banks including Bank of America. Since 2017, he has led training in Governance, Risk and Compliance at training provider CCL Academy.
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 discussed where regulators and policymakers have hit the right mark in their efforts to bolster London’s capital markets, where they have missed opportunities, how market participants themselves need to step up to support their efforts and plenty more in between.
I hope you enjoy it.
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FAQ
How many episodes does Following the Rules have?
Following the Rules currently has 69 episodes available.
What topics does Following the Rules cover?
The podcast is about Business and Podcasts.
What is the most popular episode on Following the Rules?
The episode title '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' is the most popular.
What is the average episode length on Following the Rules?
The average episode length on Following the Rules is 35 minutes.
How often are episodes of Following the Rules released?
Episodes of Following the Rules are typically released every 7 days.
When was the first episode of Following the Rules?
The first episode of Following the Rules was released on Apr 19, 2022.
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