Thomson Reuters製作的Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Thomson Reuters
Compliance Clarified is a podcast from Thomson Reuters Regulatory Intelligence.
Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding role of the compliance officer. Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.
分类: 商業與個人理財
听听最后一集:
International leaders (the few who were there) reached agreement on carbon trading, development bank financing and a loss and damage fund at the COP 29 summit in Baku, Azerbaijan. In this last episode of the series, Henry Engler, senior editor in New York, joins Alex Robson, managing editor in London, to discuss the annual United Nations climate summit and some of the wins for developing countries. It is estimated that emerging market economies need at least $1 trillion per year to combat climate change.
They also discuss the re-election of Donald Trump to the White House and the implications for ESG legislation (spoiler alert: not good). Trump, a climate change denier, is expected to once again withdraw the United States from the Paris Agreement when he takes office in January.
The Compliance Clarified podcast series covers a wide range of topics that affect compliance officers at financial institutions and aims to help them navigate the often challenging regulatory environment. It considers the significant challenges of the day and offers practical ideas for emerging best practices.
See the links below for more information on the podcast and additional resources.
Links:
COP29 - Global climate financing goal for emerging economies in doubt; smaller wins achieved (paywall): http://go-ri.tr.com/X2fztB
COP29 agrees international carbon market standards: https://unfccc.int/news/cop29-agrees-international-carbon-market-standards
Fund for responding to loss and damage: https://unfccc.int/loss-and-damage-fund-joint-interim-secretariat
Compliance Clarified is a podcast from Thomson Reuters Regulatory Intelligence.
Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding role of the compliance officer. Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.
以前的剧集
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123 - Season 12, Episode 10: COP 29 summit and the elephant in the room Thu, 21 Nov 2024
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122 - Season 12, Episode 9: A discussion on TD Bank's AML challenges and record-setting fine Thu, 14 Nov 2024
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121 - Series 12, Episode 8: Consumer Duty, so far so good? Thu, 07 Nov 2024
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120 - Series 12, Episode 7: Bluecrest Thu, 31 Oct 2024
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119 - Season 12, Episode 6: What impact will the U.S. presidential election have on regulation? Who will win?  Thu, 24 Oct 2024
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118 - Series 12, Episode 5: Luxury Sector Scrutinized for Financial Crime and Sanctions Risk Thu, 17 Oct 2024
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117 - Season 12, Episode 4: Basel 3 Endgame: where do we stand?  Thu, 10 Oct 2024
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116 - Season 12, Episode 3: Recapping the ACAMS Las Vegas 2024 Conference with veteran AML reporter Brett Wolf Thu, 03 Oct 2024
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115 - Series 12, Episode 2: Methane and the looming regulatory and reputational risks for Banks, asset owners  Thu, 26 Sep 2024
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114 - Series 12, Episode 1: Unpacking the UK FCA’s approach to Freedom of Information Act compliance  Thu, 19 Sep 2024
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113 - Series 11, Episode 10: Domestic PEPs: Compliance lessons from the UK election gambling scandal Thu, 18 Jul 2024
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112 - Series 11, Episode 9: What the UK’s new Labour government might mean for financial services regulation Thu, 11 Jul 2024
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111 - Series 11, Episode 8: Culture and conduct risk arising from artificial intelligence Thu, 04 Jul 2024
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110 - Series 11, Episode 7: Consumer Duty - Delivering better consumer outcomes  Thu, 27 Jun 2024
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109 - Series 11, Episode 6: Redress: giving the proceeds of grand corruption, kleptocracy, and Chelsea FC to victims Thu, 20 Jun 2024
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108 - Series 11, Episode 5: Stablecoins: fragmented regulatory approach and financial crime Thu, 13 Jun 2024
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107 - Series 11, Episode 4: FCA enforcement strategy: Reducing open case numbers and that "naming and shaming" proposal Thu, 06 Jun 2024
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106 - Season 11, Episode 3: Moving beyond compliance toward an 'assurance model' with ethics as cornerstone Thu, 30 May 2024
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105 - Season 11, Episode 2: Protecting our Parents; The Alarming Increase in Elder Exploitation and Fraud Thu, 23 May 2024
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104 - Season 11, Episode 1: Under the Finfluence: the many forms of social media financial promotions  Thu, 16 May 2024
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103 - Season 10, Episode 9: European Central Bank and EU lawmakers add to sustainability workload for compliance officers Thu, 21 Mar 2024
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102 - Season 10, Episode 8: Ongoing Ukraine war, global tensions add export controls to sanctions compliance complexity Thu, 14 Mar 2024
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101 - Season 10, Episode 7: International Women's Day 2024: Navigating the backlash Thu, 07 Mar 2024
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100 - Season 10, Episode 6: Insider dealing lists: lessons from a conviction Thu, 29 Feb 2024
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99 - Season 10, Episode 5: How Mekong region organized crime built a global cryptocurrency money laundering network Thu, 22 Feb 2024
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98 - Series 10, Episode 4: Bribery and corruption outlook in the U.S. and UK for 2024 Thu, 08 Feb 2024
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97 - Series 10, Episode 3: See you in court! The SEC and spot bitcoin ETFs Thu, 01 Feb 2024
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96 - Series 10, Episode 2: The state of sustainability regulation in the U.S. in 2024 Thu, 25 Jan 2024
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95 - Series 10, Episode 1: 10 things compliance officers must consider in 2024 – EU and UK Thu, 18 Jan 2024
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94 - Series 9, Episode 11: Key takeaways from Week 1 of COP28 for financial firms Thu, 07 Dec 2023
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93 - Season 9, Episode 10: Cross-border crypto fraud enforcement and the globalization of money laundering as a service Thu, 30 Nov 2023
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92 - Season 9, Episode 9: OPBAS plus? UK professional body supervisors and AML supervision reform Thu, 23 Nov 2023
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91 - Season 9, Episode 8: Hamas, terrorist financing and the U.S. response to the 7 October attack Thu, 16 Nov 2023
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90 - Season 9, Episode 7: Singapore police unveils S$2.8 billion biggest money laundering ring Thu, 09 Nov 2023
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89 - Series 9, Episode 6: Whistleblower protections demand scrutiny in separation and confidentiality agreements Thu, 02 Nov 2023
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88 - Series 9, Episode 5: Does Australia's senior management accountability go FAR enough? Thu, 26 Oct 2023
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87 - Series 9, Episode 4: The FCA and its difficulties of dealing with whistleblowing Thu, 19 Oct 2023
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86 - Series 9, Episode 3: North Korea, Russia, crypto and changing attitudes to sanctions in Asia  Thu, 12 Oct 2023
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85 - Series 9, Episode 2: Fincen's U.S. beneficial ownership database--inching closer to transparency Thu, 05 Oct 2023
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84 - Series 9, Episode 1: UK Financial Conduct Authority's enforcement arm: "all bases covered" or "highly unsatisfactory"?  Thu, 28 Sep 2023
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83 - Series 8, Episode 10: Artificial Intelligence in compliance: opportunities, pitfalls, and the regulatory response  Thu, 20 Jul 2023
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82 - Series 8, Episode 9: The UK FCA's Consumer Duty, what does it all mean? Thu, 13 Jul 2023
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81 - Series 8, Episode 8: PwC in damage control following Australian tax policy "corruption" scandal Thu, 06 Jul 2023
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80 - Series 8, Episode 7: U.S. bank regulators step up stress testing post-SVB Thu, 29 Jun 2023
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79 - Series 8, Episode 6: Suspicious activity reports surge; 2023 filings on pace for another record Thu, 22 Jun 2023
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78 - Series 8, Episode 5: The FCA's track record on whistle-blowing  Thu, 15 Jun 2023
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77 - Series 8, Episode 4: The case for reengineering KYC and the latest on sanctions screening challenges Thu, 08 Jun 2023
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76 - Season 8, Episode 3: Navigating the Asia-Pacific cyber risk landscape  Thu, 01 Jun 2023
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75 - Season 8, Episode 2: The Cost of Compliance Report Thu, 25 May 2023
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74 - Season 8, Episode 1: Santander, the Post Office and money laundering for Columbian cartels Thu, 18 May 2023