30 years: Capital markets & investment banking
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.
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.
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9 mins 57 secs
Compliance is about behaviour, accountability and acting within the rules -- not only the legal rules and regulation, but also rules to do with fairness and ethics.
Key learning objectives:
Outline the topics that compliance cover
Understand how are banks cutting the costs of compliance
Understand how compliance challenges have been brought about by Covid-19
Outline bank's responses to these challenges
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Banks have responded by super-sizing compliance.
Key concerns have included:
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