EY Compliance and Conduct Series: Recent Episodes
EY
Current times have exacerbated the existing compliance and conduct issues that we deal with day-to-day, as well as bringing some new challenges to the fore. The EY Compliance and Conduct podcast brings a number of spotlight sessions focused on those challenges, drawing on the EY view of the most important issues facing the industry right now.
In this third podcast EY speakers; Michel Grummel, Compliance and Conduct lead in the Netherlands, Stuart Crotaz, Partner in Banking & Capital Markets Conduct & Compliance, Kara Cauter, EMEIA Capital Markets Consulting Partner and host Sajedah Karim, Partner in FS Risk discuss the new and unforeseen challenges driving change in the current state model.
Discussion topics include:
- The changing environment of Conduct and behaviours
- How the shift in working remotely will affect Compliance and Conduct
- Recent challenges affecting firms’ culture and the modern Compliance function
- Cost agenda
- The future of the Compliance function
- How data and technology will fit into a firm’s Compliance strategy in the future
In this episode of the Compliance and Conduct podcast, Sajedah Karim, Mike Zehetmayr and Andrea Lapomarda discuss the current opportunities and challenges in the RegTech space.
There has been a huge amount of change in the RegTech agenda over the last few years with changes in relation to investment, regulatory response and market response. Our EY speakers talk about each of these evolutionary points as well as what they expect to see in the future.
Speakers: * Sajedah Karim, Partner, Financial Services Risk, Ernst & Young LLP * Mike Zehetmayr, EY EMEIA Risk, Compliance and Regulatory Technology Leader * Andrea Lapomarda, Associate Partner, Financial Services Risk, EY Advisory S.p.A; EY Italy RegTech Leader
Learning outcomes * The current market response * How the market is responding to change * What the regulators are doing in different countries * The types of solution that are being invested in * The traditional challenges versus the new challenges and opportunities in the RegTech space
In the first podcast, host Sajedah Karim introduces the series. With EY leaders Jenny Clayton and John Liver, they discuss what the industry has learnt from the past ten months and look forward to how it can make sure it continues to meet society and regulator expectations to treat customers fairly in this challenging situation.
Discussion topics include:
- What businesses are doing to secure good outcomes for customers
- Pitfalls to be avoided
- The outlook for the next six to twelve months
- COVID-19-related conduct risks firms should be mindful of during this time
- Where the regulators might go next