Skip to content

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

Anti-Bribery Programs that Work (and Won't Bust the Budget)
March 17, 2010
Over the past decade, an increasing number of countries have enacted foreign bribery laws to implement international anti-corruption conventions criminalizing the bribery of foreign public officials. The explosion in Foreign Corrupt Practices Act (FCPA) enforcement by the Department of Justice (DOJ) and Securities and Exchange Commission is catching the attention of corporate boards and executives throughout the U.S. and around the world. As the number of prosecutions against companies and individuals for violations of the FCPA and similar foreign bribery laws increase, so too has the array of anti-bribery initiatives to meet companies’ growing compliance needs.
Click here for more information
Shipping contracts and OFAC - Don't get caught by a rogue wave
March 23, 2010
A key challenge in today’s highly competitive shipping market is ensuring that vessels and their owners are not on any sanction lists. As ship names are relatively easy to change, and the possession of vessels can often be hidden behind layers of ownership, this is not always a simple or straightforward task. The time it takes to obtain the information is also critical, as delays in approving transactions can lead to loss of trade to competitors and reputational damage. Further, if you innocently ship goods on a vessel not only may you potentially be in breach of sanctions regulations through facilitation or otherwise, you may find that funds to be utilised for payment may become blocked or rejected by a bank.
Click here for more information

On-demand webcasts

Alternative Reality for Alternative Investment - The AIFM Directive is coming soon
March 3, 2010
As a result of recent market events, the European Commission believes that the activities of Alternative Investment Fund Managers (AIFMs) are not sufficiently transparent and should be formalised in order to help manage the associated risks. In April 2009 a proposal was published by the European Commission on regulating AIFMs.
Click here to download
The Forgotten Crisis: The compliance professional of yesterday, today and tomorrow
February 25, 2010
When it comes to professional services, compliance practitioners are considered the new kids in town. Due to the current financial environment, compliance is no longer viewed as a part–time role performed by in–house counsel, auditors and accountants. The discipline of compliance has progressed into a genuine career path requiring essential skill sets.

Be sure to visit our Forgotten Crisis website for other related resources.
Click here to download
A River of Illicit Funds: Are you truly prepared to detect & prevent major money laundering threats?
February 10, 2010
The more controls that are implemented to prevent money laundering, the more creative criminals are becoming in outsmarting the authorities. It’s up to your firm to recognize the red flags of money laundering. Failing to do so greatly increases the risk of costly compliance problems and financial loss.
Click here to read the related article
The Forgotten Crisis: A Recovery without Reform
January 28, 2010
As the signs of recovery begin to take shape, the recent financial crisis could quickly become a distant memory. After Lehman collapsed in September 2008, governments stepped in to bail out institutions that were supposed to be too big to fail. In providing relief to these failing global firms, it has been argued that the bailout effort has actually promoted an ‘artificial recovery.’

Be sure to visit our Forgotten Crisis website for other related resources.
Click here to download
Understanding the FCPA:
Creating an Effective Compliance Standard
December 15, 2009
The increased trend in Foreign Corrupt Practices Act (FCPA) enforcement shows no signs of letting up. The US Department of Justice and the SEC have added staff members, while the FBI has dedicated a new task force of agents that specialize in FCPA investigations. Currently, FCPA compliance programs are far from standardized. They can vary dramatically from company to company, region to region, and industry to industry. Many in compliance leadership roles are overwhelmed by the task of determining specific rules of engagement in the process of examining third parties and gauging regulatory agency expectations.
Click here to download
Western v. Islamic Finance - How has Shariah banking performed in the Global Recession?
December 8, 2009
We are hoping to have both regulators from the Middle East represented as well as retail and wholesale firms to discuss, among other things, "How has Shariah banking performed in the global recession?" We are seeking to bring out the practical realities of Islamic Finance particularly for compliance officers and given your extensive experience and wide range of knowledge the region and industry - it would be great if you could join us.
Click here to download
The Day After Tomorrow: Walker's Final Report
Sir David Walker’s final report on Corporate Governance of the UK Banking Industry
December 3, 2009
On November 26, 2009, Sir David Walker will publish his final report following the review of the corporate governance of banks and other financial institutions. Walker will answer questions before the Treasury Committee as part of the Committee’s broader enquiry into financial regulation.What will the future of UK regulation look like? Will the report go far enough to make any real changes? Will there be a tidal wave of regulatory change as a result?
Click here to download
Beyond the Bailout: Where do we go from here?
December 2, 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.
Click here to download
Keeping your Data Safe: Security is not a product ... it's a process
December 1, 2009
Recent headlines from across the globe say it all. The most recent case concerned three HSBC entities that were fined a combined total of £3m for failing to have adequate systems and controls in place to protect their customers' confidential data.
Financial services regulators will no longer tolerate failure to protect personal data, whether it relates to employees, customers or suppliers. The technical advances that have enabled firms quickly and effectively to collect, analyze and deliver this data around the world have also brought new challenges in terms of protecting data privacy. In the last couple years, many countries and territories have responded to this threat by tightening up their data privacy laws.
Click here to download
Ripples in the Asian Pond - In the wake of market turmoil: An investigation of regulatory developments in APAC
November 25, 2009
In the Asian Regulation Survey 2009 published by Allen & Overy and Complinet, Asian Governments and regulators are grappling with what at present appears to be the fall-out from the market turmoil. With another possible market downturn lurking ahead, we examine the various bail-outs and stimulus packages that have washed through the international system and key issues for risk and compliance professionals.
Click here to download
Vessel Compliance: Don't let the ship sail without you
November 24, 2009
The end results of poor vessel compliance: A container ship of spoiled produce, a financial loss for the importers and exporters, a captain that must answer for his or her actions, a ship barred from further commerce in the US (either for several months or even years) and a firm with fines in the tens of millions.
OFAC may impose a civil penalty for each violation up to $250K and twice the "amount of the transaction that is the basis of the violation." Civil penalties are imposed on strict liability basis. Non-compliance means severe fines.
Click here to download
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.
Click here to download
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.
Click here to download
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.
Click here to download
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?
Click here to download
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.
Click here to download
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.
Click here to download
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.
Click here to download
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.
Click here to download
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.
Click here to download
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.
Click here to download
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?
Click here to download
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.
Click here to download
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.
Click here to download
Back to top