Following the Rules
An insider’s guide to the laws dictating life within UK and EU financial services, the people influencing their development and policing finance workers’ compliance
Episodes
Today’s guest sets out the Financial Conduct Authority’s to-do list for 2026 and beyond.
She details the watchdog’s plans to future-proof UK financial regulation, and outlines what City firms should expect as landmark reforms, including new rules on non-financial misconduct, begin to bed down.
She discusses the FCA’s efforts to build a more open relationship with financial institutions and explains why a more collaborative partners...
Today’s episode is part of a Following the Rules series delivering practical guidance on navigating legal, regulatory, technological and cultural change.
In this episode, we turn to one of the most challenging and fast-evolving areas of regulatory focus: non-financial misconduct. With the UK’s Financial Conduct Authority set to introduce new rules this year that explicitly bring serious non-financial misconduct within scope of the ...
Today’s episode is a special one produced in association with Symphony, a secure and compliant communications and markets technology provider, offering messaging, voice, directory and analytics for financial markets and trading teams.
It also forms part of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for navigate legal, regulatory, technolo...
Today’s guest is leading the UK’s audit regulator through reform without the legislative powers originally promised. Two years into the job, he argues the Financial Reporting Council is acting anyway, using proportionate, common-sense regulation to support growth and investment. He sets out a pragmatic agenda for keeping UK audit credible and relevant, covering everything from market concentration and SME audits to AI and the futu...
Today’s episode is part of a special series of Following the Rules, produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape. The series offers practical insights to help firms navigate legal, regulatory, technological and cultural change.
Today, we’re examining one of the most complex shifts in modern financial regulation: the process of...
Today’s guest delivers a blunt warning to policymakers, arguing the UK has made “a massive mistake” by failing to stop trading venues from charging for market data - a failure she says has weakened the country’s competitiveness. She calls on the government to “wake up and listen” to the scale of the issue or risk losing ground to rival financial centres.
She also argues that the industry’s fixation on blockchain as a panacea to eve...
Today’s episode is part of a special series of Following the Rules produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
The series offers practical insights to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we’re diving into one of the most intense moments a business can ...
Today’s guest outlines how the accelerating pace of regulatory change poses significant challenges for global financial institutions. He highlights that fragmentation can create a complex landscape for banks’ compliance divisions, and underscores the benefits of adopting a more coordinated, risk-based approach to rulemaking.
He also discusses how the industry could best evolve the traditional three lines of defence model, how banks...
Today’s episode is part of a special series of Following the Rules produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
The series offers practical insights to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we explore two closely-linked developments set to reshape the com...
Today’s episode is a special one produced in association with Smarsh, a technology firm providing global financial institutions with the tools to capture, store, and monitor their communications.
It’s part of a new Following the Rules series providing practical guidance to help financial services firms navigate legal, regulatory, technological, and cultural change.
In this episode, we look at a hot-button issue for regulators on bo...
Today’s episode is a special one produced in association with Simmons & Simmons, an international law firm supporting financial institutions across the global regulatory landscape.
It also forms part of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for navigate legal, regulatory, technological, and cultural change.
In this episode, we turn ...
Today’s guest discusses how some wholesale financial institutions may be unnecessarily “gold-plating” their efforts to comply with the Financial Conduct Authority’s Consumer Duty regime.
She details how the regulator plans to both clarify and simplify its expectations of all firms subject to the far-reaching ruleset.
She also discusses the FCA’s plans to help firms, both large and small, navigate the rapid deployment of AI tools ac...
Today’s episode is a special one produced in association with Smarsh, a technology firm providing global financial institutions with the tools to capture, store, and monitor their communications.
It also marks the launch of a new Following the Rules series providing practical, actionable guidance to help listeners and the financial services firms they work for navigate legal, regulatory, technological, and cultural change.
We’re ki...
Today’s guest outlines where governments and financial regulators are going wrong in their supervision of the sector.
He details where he sees potentially systemic risks mounting and he explains what banks, financial institutions and their supervisors can do now to prevent a significant blow-up from occurring on their watch.
Mark Watson is a governance and risk expert whose three-decade career includes stints advising financial ins...
Today’s guest explains why global standards for financial conduct could help counter the risk of rising regulatory fragmentation - providing, as he puts it, “the glue to hold diverging rule books together.”
He outlines how a robust governance framework could help financial institutions better tackle toxic workplace behaviour. He explains why he believes a central repository for authenticated data may be key to fighting AI-generated...
Today’s guest calls on regulators and policymakers to stop seeking to regulate alternative asset managers like they’re banks.
She details how policymakers can best rethink the regulatory framework for the non-bank sector to benefit not only alternative asset managers but also the financial sector more broadly.
And she explains how a push to harmonise the rulebooks between competing financial hub could also help with a broader push ...
Today’s guest pinpoints the “very technical” but overly complex regulatory requirements underpinning financial markets that he believes regulators could rethink to generate “big savings” for both themselves and the market participants they oversee.
He discusses the lessons he would like to see industry players take on board and the changes he believes policymakers should consider in their efforts to prevent a repeat of recent high-...
Today’s guest discusses the European Securities and Markets Authority’s to-do list for 2025, and she explains the regulator’s priorities as it responds to an EU-wide effort to simplify the bloc’s rulebook.
She outlines ESMA’s expectations of market participants subject to its landmark reforms on digital operational resilience and crypto-assets and she details how she plans to make sure both regimes are implemented in as effective a...
Today’s guest outlines how he expects financial services regulators in the UK and European Union to react to President Trump’s increasingly erratic policymaking.
He details the regulatory changes he believes are needed to ensure the UK government achieves its growth mission and he highlights what Brussels must get right if the EU is serious about remaining globally competitive.
He also explains why it is imperative that governments...
Today’s guest is on a mission to bring ethics and compliance to the top table.
She explains why ethics and compliance professionals should be given a seat in the boardroom and what’s stopping them from getting there.
She also discusses how businesses and their compliance executives can best navigate today’s increasingly fragmented regulatory environment, and she shares practical steps boards can take to embrace ESG and DEI princ...
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