PODCAST · business
Following the Rules
by Lucy McNulty
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
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Special episode: How to future-proof communications compliance in the age of AI with Smarsh's Kim Crawford Goodman
Today’s episode is a special one. It’s brought to you in partnership with Smarsh, the technology firm that helps regulated organizations of all sizes, including financial institutions, capture, govern, and monitor their communications. This episode forms part of a Following the Rules series,...
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Former regulator and JP Morgan regulatory affairs head Sally Dewar outlines how to manage compliance risk, get individual accountability right and build a simpler regulatory regime
Today’s guest warns that financial services’ boards that place too much emphasis on compliance risk making their firms less well governed, by crowding out strategic debate and encouraging executives to focus on proving they have ticked the right boxes rather than exercising good judgment. She…
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How to prepare your firm for UK crypto authorisation with the Financial Conduct Authority's Dominic Cashman
The UK crypto industry is approaching a fundamental regulatory shift. Firms that have operated under relatively limited oversight by the UK’s Financial Conduct Authority are preparing to become fully regulated financial services businesses, bringing much broader expectations around governance,...
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DFSA’s Mark Steward on rethinking AI regulation, repricing conflict in the Middle East and safeguarding Dubai’s growth
Today’s guest cautions that regulators face a growing gap in understanding and managing the scale and complexity of AI risks and asks whether traditional, technology-neutral regulation can keep pace as adoption accelerates. He also discusses how Dubai International Financial Centre is weathering...
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How to build better regulators with former Bank of England and FCA executives Lyndon Nelson and Gavin Stewart
Regulation has never been under greater scrutiny. Around the world, governments are asking regulators to support growth and innovation while continuing to protect consumers, preserve financial stability and prevent the next crisis, and increasingly, to do all of it at once, as if the trade-offs...
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Special episode: How to unlock AI innovation without losing control with Smarsh's Goutam Nadella
Today's episode is a special one, produced in association with Smarsh, a technology firm that helps financial institutions capture, govern and monitor their communications. This episode forms part of our Following the Rules: How To series, focused on practical guidance for firms navigating legal,...
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How to rewire UK financial regulation for growth with the PRA's David Bailey, FCA's Kate Collyer, former City minister John Glen, shadow City minister Mark Garnier and New Financial's Max Bierbaum
Today’s episode is a little different to normal. It’s a recording of a panel discussion I was Invited to moderate a recent event convened by the Managed Funds Association or MFA, the global trade body for the alternative asset management industry, and organised by POLITICO. The discussion brought...
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Nomura's Chris Barlow on taking politics out of regulation, preparing compliance for the future and building the right culture
Today’s guest argues that one of the biggest risks facing financial services isn’t market volatility or even regulatory complexity. It’s the growing politicisation of the rulebook around the world. As geopolitical tensions rise and regulatory regimes increasingly diverge, he warns that firms are...
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How to ensure your insurance reflects your risk profile with Willis’ Claire Nightingale, Paul Search and Andrew Hill
Today’s episode is produced in association with Willis, one of the world’s leading risk advisory, broking and solutions businesses. It is also part of a Following the Rules series delivering practical guidance on navigating legal, regulatory, technological and cultural change. Insurance has...
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How to use training to reduce toxic workplace behaviour
Today’s episode is part of a Following the Rules series exploring how financial institutions can navigate legal, regulatory, technological and cultural change in practice. In this episode, we look at why traditional approaches to compliance training are increasingly falling short in a regulatory...
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How to succeed as a Chief Compliance Officer in today’s markets with compliance and risk strategists Natalie McManus-Barnett and Jennifer Geary
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 a role that has quietly but fundamentally shifted over the past decade: the Chief Compliance Officer. Once seen...
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Former Goldman’s compliance exec Mark Taylor on fixing accountability in banking, and why banks still get the basics wrong
Today’s guest argues that after decades of regulatory expansion, compliance is still failing at the basics. From incomplete client records to fragmented legacy systems, he warns that poor data remains one of the industry’s most persistent, and underestimated, risks. He challenges the industry’s...
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Special episode: How to modernise voice surveillance for today’s markets with Smarsh's Eric Wiggins and Shaun Hurst
Today’s episode is a special one, produced in association with Smarsh, an AI technology firm providing global financial institutions with tools to capture, store and monitor their communications across 100+ channels. This episode is part of our ‘Following the Rules: How To’ series, focused on...
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Former insider trader Tom Hardin on the blind spots in finance’s fight against market abuse
Today’s guest is better known to the FBI as ‘Tipper X’, a former hedge fund analyst who became a key cooperating witness in the largest insider trading enforcement sweep in a generation, helping authorities bring cases against more than 80 individuals. In this episode, he explains why market…
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FCA deputy CEO Sarah Pritchard on the regulator's to-do list as it navigate new rules, new risks and "uncertain" times
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.…
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How to handle non-financial misconduct without damaging organisational culture, with former Standard Chartered surveillance chief Emily Wright and conduct risk consultant Emma Parry
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...
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Special episode: How to modernise trader voice technology to better meet today's regulatory demands with Symphony's Ben Chrnelich and Antoine Stephen
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…
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FRC CEO Richard Moriarty on cutting red tape, calling time on “dumb” compliance checklists and futureproofing the accounting watchdog without the legislative powers he was promised
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...
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Special episode: How to prepare for the next wave of crypto regulation
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,...
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Market Structure Partners' Niki Beattie on why, and how, we need to rethink how markets work
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...
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Special episode: How to navigate a dawn raid with the SFO's Emma Isaac and Simmons & Simmons' Camilla de Silva
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...
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Graham Kent, Deutsche Bank's Group Chief Compliance Officer, on the compliance challenges shaping the industry’s future
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,...
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Special episode: How to cut red tape for financial leaders while raising conduct standards with Penny Miller and Andrea Finn of Simmons & Simmons
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...
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Special episode: How to master compliant voice surveillance in financial services with Smarsh’s Ryan Kahan
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...
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Special episode: How to future proof your business with Charlotte Stalin and Sarah James of Simmons & Simmons
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…
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FCA’s Charlotte Clark on the firms ‘over-interpreting’ Consumer Duty, how the watchdog plans to help City firms navigate compliance, and its role in supporting firms through rapid AI adoption
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...
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Special episode: How to track non-financial misconduct within your business with Smarsh's Shaun Hurst and former Standard Chartered surveillance chief Emily Wright
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...
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Mark Watson, SVB’s former management governance head, on the crisis policymakers, regulators, and financial institutions are sleepwalking into and how to avoid it
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...
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FMSB CEO Myles McGuinness on his plans to help the City tackle non-financial misconduct, and bolstering the standard setters' future in an increasingly polarised world
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...
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Jillien Flores of the Managed Funds Association on how rulemakers can best rethink overly-onerous regulations for alternative asset managers, and the "misguided" policies they should avoid
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...
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Edwin Schooling Latter, ex-FCA regulator now Mizuho's UK compliance head, on the reforms that could unlock "big savings" and the lessons we missed from recent failures of major financial institutions
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...
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ESMA chair Verena Ross on her to-do list for 2025, simplifying the EU financial rulebook, and life at the helm of the watchdog
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...
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Capstone's Mathew Gilbert on navigating Trump 2.0, and the regulatory changes needed to drive "tangible" growth in the UK and EU
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...
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Governance expert Vera Cherepanova on why ethics and compliance professionals need a more influential voice in the boardroom, and the obstacles standing in their way
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...
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TP ICAP's Nik Bunney on rethinking surveillance at the world’s largest interdealer broker and what the City needs from the FCA on non-financial misconduct
Today’s guest explains how the world’s largest interdealer brokers is rethinking its approach to surveillance. He outlines the benefits of adopting a more behaviourally led methodology to monitor financial services workers’ conduct, which he says provides a more holistic view of workplace culture...
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Melissa Gallagher, JP Morgan's EMEA head of compliance, on future-proofing the back office amidst technological and regulatory change
Today’s guest outlines how the compliance function, and those working within it, can best navigate today’s rapidly changing technological and regulatory environment. She discusses the industry's response to increasing regulatory scrutiny around surveillance as well as on bankers’ non-financial...
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Alan Houmann, Citigroup's former government affairs head in Emea, on navigating rising populism and what not to do in response to "disturbing" government policies
Today’s guest outlines how he expects the rightward shift in global politics, from Trump’s resurgence to Europe’s own populist movements, is likely to reshape financial services regulation in the UK and EU. He discusses how bank lobbyists and policymakers can navigate these shifting tides, why…
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London Stock Exchange CEO Julia Hoggett on the changes needed to boost the City and its capital markets
Today’s guest outlines why she believes the government’s efforts to boost the UK’s economic growth are more likely to succeed if they include a fundamental shift in how the City talks about its capital markets and a rethink of how the City’s regulators are incentivised to support the growth...
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Special episode: Smarsh's Kim Crawford Goodman and CallCabinet's Ryan Kahan on the regulatory trends set to shape communications surveillance in 2025
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing financial services companies of all sizes around the world with the tools to capture, store, and monitor their communications. Today’s guests discuss the regulatory priorities they believe…
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FCA CEO Nikhil Rathi on his to-do list for 2025, the regulator's future, and life at the helm of the City watchdog
Today’s guest discusses the Financial Conduct Authority’s to-do list for 2025 and outlines what City firms should and should not expect from the regulator as it seeks to prioritise growth and competitiveness in the coming months. He details the challenges commensurate with this new approach that…
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IA's Chris Cummings calls on lawmakers and regulators to agree a 'common vision' with the investment management sector and outlines the rules that must be cut in the drive to boost UK growth
Today’s guest calls on the government and City regulators to agree a “common vision” with the investment management industry to better enable those working in the sector to generate long-term growth in the UK. He details the areas where he believes the Financial Conduct Authority “still needs to...
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Behavioural risk experts Dr. Wieke Scholten and David Grosse outline where the banking sector and its regulators are going wrong in their approach to managing their cultural concerns
Today’s guests explain where they believe banks and their regulators are going wrong in their efforts to “fix” the sector’s cultural issues. They detail how lawmakers, financial bosses and their supervisors can best ensure that ongoing and increasing efforts to loosen rules governing behaviour in...
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UK Finance's David Postings on what should follow the government's drive to bolster the City's growth and competitiveness, and why it's time for Meta to step up its efforts to combat fraud
Today’s guest discusses how finance executives and their regulators can best support the government’s efforts to drive growth and competitiveness in the UK’s financial services sector. With that in mind, he outlines why he believes it is important to debate whether the Financial Conduct Authority...
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Special episode: Smarsh's Shaun Hurst and Paul Taylor on the mistakes finance bosses are making in their efforts to better track non-financial misconduct within their workforce, and how to avoid them
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing global financial services companies with the tools to capture, store, and monitor their communications. Today’s guests discuss how organisations are responding to increasing regulatory…
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Natixis' Britt Johnston and portfolio NED Tina Mavraki on the common mistakes finance bosses make when addressing conduct failings, and how regulators can stop cultural 'window dressing'
Today’s guests outline where financial institutions are going wrong in their efforts to address their cultural shortcomings. They discuss the practical steps that those managing finance workers can take to meaningfully improve the culture within their organisations and they outline how regulators...
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Former Standard Chartered global surveillance chief Emily Wright on banks' surveillance blind spots and how best to monitor them
Today’s guest outlines how she expects regulators to push financial institutions to keep better track of their employees’ behaviour. She discusses how finance firms should be modernising their staff surveillance programmes in response to this regulatory focus and explains how those tasked with...
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Special episode: Smarsh's Brandon Carl on the technology, regulatory challenges and industry trends shaping the future of communications surveillance
Today’s episode is a special one produced in association with Smarsh, a global technology firm providing financial services companies with the tools to capture, store, and monitor their communications. Today’s guest discusses how financial institutions are changing their communications…
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Conor Sewell, former Treasury advisor now Forefront Advisers director, outlines what City bosses and their regulators should expect under Labour
Today’s guest discusses how he expects the Labour administration will prioritise a long list of pending financial services reforms inherited from the previous government. He explains how such a reform programme could be interpreted to provide City bosses with the clarity they seek as to how the...
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PRA CEO Sam Woods on life at the helm of the UK's top finance regulator and his regulatory priorities for 2024 and beyond
Today’s guest outlines what’s to come in a new package of tougher global capital requirements known as Basel 3.1. He explains how banks can best prepare for the reforms and discusses the prospects of a delay to their implementation in the UK. He outlines how the Prudential Regulation Authority is...
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Former FCA CRO Gavin Stewart on the compliance risks that City watchdogs may have missed, and how UK regulation and regulatory operations should be improved
Today’s guest explains why the UK could be sleepwalking into a new compliance scandal, and he details where such a blow-up might originate. He outlines how he believes financial services regulation could be improved – both by policymakers in government and the regulators themselves. And he…
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ABOUT THIS SHOW
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
HOSTED BY
Lucy McNulty
CATEGORIES
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Frequently Asked Questions
How many episodes does Following the Rules have?
Following the Rules currently has 100 episodes available on PodParley. New episodes are automatically indexed when they're published to the podcast feed.
What is Following the Rules about?
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
How often does Following the Rules release new episodes?
Following the Rules has 100 episodes. Check the episode list to see recent publication dates and frequency.
Where can I listen to Following the Rules?
You can listen to Following the Rules on PodParley by clicking any episode. We provide an embedded audio player for direct listening, and you can also subscribe via your preferred podcast app using the RSS feed.
Who hosts Following the Rules?
Following the Rules is created and hosted by Lucy McNulty.
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