Webcasts
Complinet webcasts bring together practitioners, legal experts and compliance specialists to provide a deep insight into topical subjects and the latest regulatory changes.
Upcoming webcasts
Please check back regularly to see more upcoming webcasts
- Regulatory Exams: New Environment, New Priorities
November 19, 2009 - As a continuation of our informative panel from the 3rd Annual NY Customer Summit we’re going to have an in-depth exploration of the latest trends in regulatory exams.
Tougher oversight for financial firms is one of the few certainties as we look to the future of regulation. Record-setting fraud cases, looming regulatory reform and shrinking tolerance for malfeasance of any kind provide the background for an aggressive overhaul by the SEC and FINRA of their examination programs. Firms can expect this new approach to include more sweep exams, stricter deadlines to produce information, increased pre-exam preparation, and highly specialized and knowledgeable examiners.
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On-demand webcasts
- Ignorance is Risk: Identify, assess and manage operational risk
November 5, 2009 - The dialogue regarding risk management took on a more urgent tone following the tragic events of September 11, 2001. Regulations were implemented to better ensure that firms of all sizes would develop policies and programs to manage risk, and firms began to address risk management in terms of rapid resumption of business operations following unanticipated interruptions. The global community promulgated its new capital adequacy framework known as Basel II and US regulators followed with heightened attention to operational risk management in examination programs. This webcast will help to prepare you for what lies ahead in regulatory inspections, and practical guidance for mitigating risk in your firm.
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- Future of Due Diligence & CRA Regulation:
Analyzing the role of Credit Rating Agencies in the Great Crash
October 7, 2009 - One of the major recurring themes in the aftermath of the "Great Crash" is the over-reliance on ratings published by the major credit rating agencies. It is clear that regulators will expect firms to demonstrate effective risk management systems and controls and independent due diligence on securities they hold. What is not clear is how they should do so. Jerome Fons, former Managing Director, Credit Policy at Moody's Investors Service, will speak on a range of issues concerning the past and future role of credit rating agencies (CRA's), the issues raised by their methodologies and business models, and the due diligence requirements financial services firms are likely to face as regulators react to their perceived over-reliance on CRA ratings.
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- The Great Crash of 2008: Inside the Madoff Investigation
September 29, 2009 - The SEC Inspector General report confirmed what many had been saying: that the SEC had more than enough information to pursue an investigation into Bernard Madoff’s Ponzi scheme years before its collapse. More to the point, some of the red flags were raised by the SEC’s own staff. The unanswered question remains, then, how is it that the SEC did not pursue indications of a multi-billion dollar Ponzi scheme?
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- The Icelandic Crisis: Can the Debt be Paid?
September 24, 2009 - Iceland experienced the worst economic crash of any country in peacetime in October 2008. Its authorities denied responsibility and protesters finally forced the government to resign. The Icelandic banks failed because of excessive risk taking, inadequate management and lax government supervision.
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- Preparing for a Regulatory Storm:
Compliance Crisis Management
September 14-18, 2009 - The very nature of a regulatory crisis is unplanned and consequently compliance personnel are rarely as well prepared as they could be. However, there are a set of key principles and actions that a firm needs to consider when planning and implementing a successful crisis management strategy.
Click here to view all the material from Complinet and Nabarro's interactive case study training course, based on a realistic crisis scenario unfolding over 5 days.
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- Hedge Fund Regulation: What it means for your firm and how best to prepare
September 10, 2009 - Hedge funds should be preparing for more regulation as a result of the Obama Administration's proposals and the recent financial crisis. Rather than waiting and reacting to the new rules and regulations, consider taking action now to prepare your firm for the new requirements. The more equipped your firm is for implementing the new regulations, the more cost effective and less risky it will be.
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- The Future of Regulation: The Road to Recovery
August 19, 2009 - As the past few months have progressed we have learned more about what the future of regulation will look like. However, there are still some areas and initiatives about which we can only speculate. This poses a considerable challenge to those firms which understand the critical importance of preparing now for the changes to come: if you are not readying your firm for what lays ahead you may be facing serious risk.
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- The Retail Distribution Review: Revolution or Evolution?
August 6, 2009 - The much anticipated and long awaited FSA consultation paper CP09/18 has now been published, and provides much needed clarity on the proposals for adviser charging and remuneration, describing adviser services and improving professional standards across the retail advice sector. Bovill provides an overview of the proposed approach as well as the new exam requirements and Professional Standards Board.
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- Preparing for the new FINRA rulebook: Are your policies ready for implementation?
August 5, 2009 - For the past two years, FINRA has been working diligently on the NYSE and NASD rulebook harmonization. Have you been working as diligently on updating your firm policies?
Frequent notices to members, brief comment periods, and tight implementation deadlines are just a few of the things faced by firms these days. It’s important that firms apply best practices in policy and procedure management to mitigate compliance risk, stay current with the latest regulatory developments, assess their impact on corporate policies, and inform and educate users.
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- When the SEC comes knocking, will you be prepared to answer?
July 16, 2009 - The Securities and Exchange Commission is serious about enforcement. This past year featured the highest number of corporate penalty cases in SEC history. It is critical for financial companies and their officers to understand how the SEC enforcement process really works.
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- When Two Worlds Collide: Understanding Financial Sanctions
July 16, 2009 - Financial sanctions are high on the list of priorities for regulators both in the UK and in the US. One major bank has recently settled criminal proceedings brought by authorities in the United States under which it agreed to pay a fine of US$350 million in respect of breaches of OFAC sanctions. In 2005, a major Dutch bank was also fined US$80 million for sanctions breaches.
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- The Middle East’s Role in the International Financial System
July 7, 2009 - Does the Middle East have a competitive advantage as an international centre of finance?
In the past, the Middle East has had a secondary role as a financial centre where Europe, North America and East Asia have been at the forefront for financial activity.
With the development of the UAE as a financial centre and the increasing focus on Shar'iah banking; will a more controlled approach be important in the post-crash world?
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- The Great Crash of 2008: An Insider's View of a Global Economy in Crisis and the Regulatory Failures
June 30, 2009 - Former global head of compliance and regulation at Lehman Brothers talks to Complinet about the warning signals and events leading up to the Great Crash of 2008, the roles of the banks and regulators and the lessons learned as the market tries to recover from the most recent economic crisis.
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- Global Regulatory Enforcement:
Trends, Lessons Learned and the Road Ahead
June 4, 2009 - The economic failures of the past year have taught us that one thing is certain: enforcement is going to increase in its frequency and intensity, regardless of the jurisdiction in which you operate.
It's clear that future enforcement efforts will be more focused, with greater attention on firms and, more importantly, on individuals. Firms must update compliance processes now to ensure they are ready for this increase in regulation and enforcement.
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- Crime investigation: Insider trading and the FSA
FSA's new approach — 'Prosecution' and the consequences for compliance officers
May 20, 2009 -
The Financial Services Authority's recent focus on the prosecution of persons for insider trading has new consequences for compliance officers. Join us for a lively debate with Tony Woodcock, Stephenson Harwood's senior litigation partner, whose recent high profile cases include the FSA's first criminal prosecution for insider dealing and the FSA's first criminal prosecution under the Financial Services and Markets Act 2000. Tony won an award for Best Legal Advisor — Litigation, Investigation and Enforcement Work in 2007.
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- Avoiding a Security Breach:
Protect your data, reduce your risk
May 19, 2009 - With the large number of personal records being compromised in recent years, organizations are under increasing pressure from customers and regulators alike to protect sensitive information. While companies are beginning to make strides to protect data privacy, compliance teams need to have absolute confidence in their information security programs.
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- Why the G20 Matters:
Final reports indicate the beginning of regulatory evolution
April 30, 2009 - A strengthening factor in global economic growth and development since 1999, the G-20 now has a crucial role to play as the world’s financial markets continue to face serious challenges. In the month of April, four working groups assembled in London to lay the foundation for recovery and reform.
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- Islamic Finance: Reshaping the World -
Could the principles of Shar'iah emerge as the preferred model for the West?
April 28, 2009 - The demand for more transparent financial products following recent market turmoil may lead the market to consider services that conform to Shariah (Islamic law). The development of viable alternatives to conventional finance has spread from the Muslim community's desire to participate in the financial world without violating their Islamic principles, to non-Muslim customers that can see its "new market" advantages.
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- FCPA Challenges: Keeping your firm’s compliance program in check
April 16, 2009 - As the U.S. Department of Justice (DOJ) and the SEC elevate aggressive enforcement activities surrounding anticorruption and the Foreign Corrupt Practices Act, global firms continue to face increasing compliance challenges. Join us for a complimentary webcast with the legal experts at law firm Kelley Drye & Warren LLP as they provide a practical guide to FCPA compliance through case studies.
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- The Turner Review: What does it mean for Compliance?
March 30, 2009 - The Turner Review expected to be announced on 18 March will require in-depth analysis not only by the FSA but industry experts that can provide a unique view of how this will affect risk and compliance professionals.
View Complinet's webcast to hear about the highlights of the analysis of the Turner Report and what is to be expected of compliance teams over the next year Click here to download
- Lessons Learned? An analysis of the $350m Lloyds TSB forfeiture
March 26, 2009 - Recently, London-based Lloyds TSB Bank Plc agreed to pay a record-setting $350m penalty for engaging in systemic US sanctions violations. By "stripping" data from international wire transfer messages, thus hiding the identities of clients, Lloyds admitted that it helped OFAC-sanctioned parties access the US financial system in violation of the International Emergency Economic Powers Act, or IEEPA.
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- Compliance in a Time of Financial Meltdown - the regulators response to the financial crisis
February 24, 2009 - The FSA’s long-awaited business plan contains details of its expenditure to fund more staff, the GABRIEL electronic reporting system and various IT projects.
The overall increase in budget is a significant 36.5% drawn largely by a major increase in fees for larger firms. It will be used to support a more effective regulatory and supervisory effort.
Will there be an increase in enforcement actions now that the regulator has made it clear that it can no longer use the description "not an enforcement-led regulator?" Or will unpredictable events impact on the plan over the course of the next 12 months?
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- Financial Crime: Mind the Gap
February 10, 2009 - Preventing financial crime remains critical, especially in times of financial crisis. The FSA has made clear that in implementing adequate controls to counter the risk of being used to further financial crime generally, firms need to consider a number of different types of risk. So what are the main regulatory areas that firms should consider? And how can these be joined together in a cohesive approach?
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- The Future of Regulation: If you’re not ready, you’re at risk.
November 18, 2008 -
Join us to discuss the regulatory changes that lay ahead, and the preparations you can take now to avoid risk later.
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