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Compliance

Since 2008, compliance has been at the heart of the financial sector. This pathway will explore regulations, laws and guidelines (both internal or external) and how they will impact your working life. The videos in this pathway will ensure you understand enough to prevent and address any nonconformities in your everyday operations.

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9 videos • 1 hour 28 minutes

  • Compliance Outline (1/2)

    In this video, Peter outlines the 10 principles for the compliance function that were set up for banks by the Basel Committee in 2005. After outlining and analyzing these principles, Peter discusses how and why banks failed to follow them closely enough in the lead up to the Global Financial Crisis - and paid a hefty price for it.

    Peter Eisenhardt07:02

  • Compliance Outline (2/2)

    In the second video of this series, Peter discuss the list of topics that would represent a good compliance training. He also talks about how banks have had to cope up with new regulations to get their houses in order on their current business. In the end Peter highlights how Covid-19 brought  new compliance challenges and what were the key concerns.

    Peter Eisenhardt09:56

  • Market Abuse

    Where rules against market abuse exist, these rules are usually split into two concepts: Insider Dealing and Market Manipulation. In this video, Stephen provides an introductory overview of what market abuse means in the context of the European Union.

    Stephen Stokes12:55

  • Anti-Money Laundering (1/3): Introduction

    Various jurisdictions impose differing rules as to who is affected by money laundering, and who is required to put in place measures to manage this risk. In this video, Iain explains what Anti-Money Laundering is, what regulations are in place, and how these requirements differ across regions.

    Iain Hoggarth03:01

  • Anti-Money Laundering (2/3): Risk Indicators

    Regulated institutions have a broad responsibility to comply with all applicable anti-money laundering (AML) and anti terrorist financing legislation. In this video, Iain discusses the areas AML regulation addresses in order to identify criminal activity.

    Iain Hoggarth13:48

  • Anti-Money Laundering (3/3): Trade-Based Money Laundering

    Money laundering and financial crime risk in trade finance is a problem that the industry has struggled to solve. Iain explains the complexity of this issue by explaining what we know, emerging threats and what bank policies exist to address this risk in trade finance.

    Iain Hoggarth16:54

  • The Senior Managers and Certification Regime for Investment Firms

    In this video, Stephen briefs us on UK's Senior Managers and Certification Regime, or “SMCR”, He runs through the background and genesis of the new rules, as well as key aspects of the new regimes and the Conduct Rules which now impact most of those working at investment firms. He finishes by speaking briefly about regulatory enforcement actions that the FCA has taken.

    Stephen Stokes11:48

  • SMR (1/2): An Introduction

    The latest and strongest form that new accountability regulation takes is the through the Senior Managers Regime, also known as SMR or SMCR. In this video, Roger outlines the basics of SMR; why the rules exist, the restrictions and limitations and who it applies to.

    Roger Miles12:36

  • SMR (2/2): Regulated Role Responsibilities

    In the previous video, Roger discussed the Senior Managers regime (SMR) of conduct regulation. In this video, Roger focuses on the language used to set out responsibilities under SMR and outlines the numbering system that the Conduct and Prudential regulators use to identify which role carries which responsibility.

    Roger Miles12:47

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