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Financial Regulation

  • Identity & KYC Webinar Series Identity & KYC Webinar Series Michelle Schofield, Ervinna Lim Recorded: Dec 6 2016 29 mins
    Ensure KYC, Reduce Fraud, Provide a Great Customer Experience -- How digital currency is Winning on 3 Fronts

    From traditional banks to, money transfer and now the growing Bitcoin market, meeting KYC requirements is critical. Come learn how Coinbase, the leader in digital currency, is using Jumio to ensure regulatory compliance, reduce fraud, and ensure a frictionless customer experience.
  • Demand Forecasting and Inventory Planning in Omnichannel Retail Demand Forecasting and Inventory Planning in Omnichannel Retail Geoff Nairn, Hicham Lahlou, Maarten Tromp Recorded: Dec 1 2016 37 mins
    Demand Forecasting and Inventory Planning are now critical activities for retailers that want to succeed in today’s omnichannel world. Rapid changing customer tastes and behavior, intense competition, and rising costs associated with labor, real estate and more complex fulfillment options force retailers to optimize their capacity to forecast and plan in order to improve margins while ensuring an excellent customer service.

    In this webinar we explain the main challenges facing retailers who wish to improve their current demand forecasting and inventory planning capabilities, how to assess these processes, and what best practices and initiatives they can implement to improve them. We explain the importance of advanced planning software in producing more reliable sales forecasts and optimizing the allocation of inventory in retail supply chains.
  • Moving away from the C-corporation: understanding Reits, MLPs, PTPs and BDCs Moving away from the C-corporation: understanding Reits, MLPs, PTPs and BDCs Thomas Humphreys and Remmelt Reigersman, Morrison & Foerster; Tom Young, IFLR Recorded: Nov 30 2016 89 mins
    Traditionally, most public companies in the US were organised as C-corporations. However, tax developments in recent years have given corporate planners a wide range of new tools to structure a public company. For example, tax pass-through MLP and Reit structures are spreading into new asset classes. Also, traditional double taxed ‘C’ corporations are using tax pass-through entities, including partnerships, to reduce or eliminate entity-level taxes as well as optimise their internal structures with tax ‘disregarded entities’. These new tools lead to a variety of tax choices in deciding how to structure a public company.

    During this briefing, which is intended for a general audience, the speakers will explain the structures, restrictions and pitfalls in this evolving hybrid world of C-corporations mixed with tax pass-throughs. Specifically, they will discuss:

    •Master limited partnerships;
    •Reits and alternative assets that may qualify as ‘real estate’;
    •Business development companies;
    •Consolidated groups of corporations and disregarded entities; and
    •Up-C structures.

    Nb: By signing up for IFLR webinars, you agree to receive follow-up communications from IFLR and the webinar sponsor but you can unsubscribe at any time
  • Realising New Investment Opportunities in China Realising New Investment Opportunities in China Paul Ellis, EU Head of Product Solutions Recorded: Nov 24 2016 55 mins
    China continues to liberalise and improve the infrastructure of its financial markets, creating new
    investment opportunities for international firms. Fixed income investors could benefit from
    expansion of the China Interbank Bond Market and equity investors from the opening of the new
    Shenzhen Hong Kong Stock Connect trading link.
    Join our panel of China and regulatory experts as we share our experiences and explore how
    firms could realise these opportunities.
  • Realising New Investment Opportunities in China Realising New Investment Opportunities in China Paul Ellis, EU Head of Product Solutions Recorded: Nov 24 2016 55 mins
    China continues to liberalise and improve the infrastructure of its financial markets, creating new
    investment opportunities for international firms. Fixed income investors could benefit from
    expansion of the China Interbank Bond Market and equity investors from the opening of the new
    Shenzhen Hong Kong Stock Connect trading link.
    Join our panel of China and regulatory experts as we share our experiences and explore how
    firms could realise these opportunities.
  • How to optimize and reconcile regulatory reporting How to optimize and reconcile regulatory reporting UnaVista, London Stock Exchange, FTFNews Recorded: Nov 22 2016 61 mins
    How do you develop a regulatory reporting and data reconciliation strategy that allows your firm to not only comply but become more efficient?

    In the wake of the financial crisis, global regulators have created a conundrum of overlapping regulations with challenging data demands to be delivered in multiple formats. In order to comply with these regulations in time for the tight deadlines, firms often rely on separate tactical solutions, leading to further operational and technical challenges down the line. Firms also have the additional task of integrating data integrity controls to confirm the accuracy information throughout their data workflow.

    In this webcast, experts discuss strategies for incorporating optimal regulatory reporting and reconciliation processes.

    The 60-minute webinar drills down on:

    An overview of current and upcoming reporting regulations
    Which data points can provide harmonization
    How to create operational efficiency across multiple global reporting regimes.
    A regulators view of what reporting best practice looks like
  • Corporate Heroism - The Whistleblower Corporate Heroism - The Whistleblower Eric Ben-Artzi, Dana Gold, Benjamin Galdston, Lucas Gilmore Recorded: Nov 17 2016 56 mins
    Dr. Eric Ben-Artzi, former Deutsche Bank Risk Officer, and Dana Gold, Esq., Senior Fellow at the Government Accountability Project ("GAP") discuss Dr. Ben-Artzi's remarkable whistleblower effort to expose improper accounting practices at Deutsche Bank, as well as GAP's ground-breaking advocacy efforts on behalf of whistleblowers and to advance corporate and regulatory reform.
  • Internal Audit and Third Party Risk Internal Audit and Third Party Risk Tim Leitz, Regional Practice Leader for Risk Advisory Services, Experis Finance Recorded: Nov 16 2016 63 mins
    Regulators acknowledge the risks associated with vendor relationships and have demanded that business leaders monitor and take responsibility for the actions of their vendors through various laws and standards such as the Sarbanes-Oxley Act, the Gramm-Leach-Bliley Act, the FCPA, the Health Insurance Portability and Accountability Act, as well as the Payment Card Industry Data Security Standard (PCI DSS) requirements and CFPB guidance.

    Consequently, vendor management is currently at the forefront of organizational risk management priorities and Internal Audit needs to address vendor management and third party risk in their audit planning and execution.

    In this presentation, you will:
    - Gain an understanding of the potential risks that may arise from the use of third party service providers
    - Identify the basic elements of an effective third party risk management program
  • UnaVista MiFIR Update Webinar UnaVista MiFIR Update Webinar David Nowell, Industry Relations & Regulatory Compliance, UnaVista; Tom Wieczorek, Product Mgt and Marcus Jeffery, Pre-Sales Recorded: Nov 15 2016 51 mins
    UnaVista is hosting this webinar to help firms with their preparations for MiFIR reporting. On 10 October ESMA released the final guidelines on MiFIR transaction reporting, we will provide a summary of the changes and details of how your firm can make the most of MiFIR reporting by illuminating best practices.

    We will also demonstrate UnaVista’s MiFIR service, which is now available for clients to test in , and showcase a few services that will help your business not just comply but thrive because of MiFIR.

    Agenda
    - Details of the final guidelines for MiFIR transaction reporting
    - Demo of the new UnaVista MiFIR ARM
    - Turning MiFIR into an opportunity
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Husayn Kassa Recorded: Nov 4 2016 34 mins
    How Machine Learning is improving the User Experience
  • How to Grow Successfully in Emerging Retail Markets with Openbravo How to Grow Successfully in Emerging Retail Markets with Openbravo Xavier Places, Francesco Leto Recorded: Oct 27 2016 46 mins
    Technology is dramatically reshaping retailing around the globe and the transformations are most evident in emerging economies, where demographic trends, ecommerce and the shift away from traditional physical formats are creating big opportunities for both local players and multinationals. The challenge for retailers is to adopt a technology platform that adapts to the distinct characteristics of these markets in areas such as business agility, ease and speed of deployment, and cost effectiveness, while also supporting new omnichannel capabilities designed to build loyalty and satisfy heightened customer expectations.
  • Auditing Corporate Culture Auditing Corporate Culture Alec Arons, National Practice Leader, Risk Advisory Services, Experis Finance Recorded: Oct 26 2016 61 mins
    The subject of auditing Corporate Culture is gaining a higher level of visibility among board and audit committee members in response to increased concern among regulators and investors. There is a clear "Expectation Gap" that exists between management, boards and third parties as it relates to management ownership of internal controls.

    The topic goes well beyond the assessment of entity level controls and the discussion of Tone at the Top associated with review of regulatory compliance, ICFR and COSO 2013. The presenter will share his perspectives gained over a 30 year career on the topic of educating management as to its responsibilities regarding promoting an effective system of internal controls.

    This webinar features Alec Arons, National Practice Leader, Risk Advisory Services. He will:
    - Provide background and perspective on the underlying regulations and expectations
    - Discuss lessons learned from the implementation of COSO 2013 and the 2015 PCAOB inspection process relating to the expectation gap
    - Introduce the topic of soft controls and define indicators of good culture
    - Introduce tools to perform an assessment of corporate culture
    - Share practical recommendations to address performing an audit
    - Review the role of the Audit Committee in evaluating corporate culture
  • UnaVista announces G20 Reporting Support for SIX FinFrag reporting UnaVista announces G20 Reporting Support for SIX FinFrag reporting Sceaf Berry, Business Analyst, UnaVista and John Cummins, Senior Business Manager, SIX Group Recorded: Oct 26 2016 49 mins
    UnaVista and SIX Group have formed a partnership to help make reporting for this regime as simple as possible. Using your connection to UnaVista, you can route trades to SIX’s derivative trade repository allowing you to have one view of all your regulatory reporting.
    Join us at this webinar to hear from our UnaVista and SIX experts on how the regulation affects you and get an overview of the solution for Swiss reporting.
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Robert Prigge Recorded: Oct 19 2016 33 mins
    Millennials in Banking: Millennials speak out on their global view of banking
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Robert Prigge Recorded: Oct 18 2016 33 mins
    Millenials in Banking: Millenials speak out on their global view of banking
  • The Relevance of Business Continuity Management The Relevance of Business Continuity Management Jeffrey Butler, Risk Advisory Services for Experis Finance Recorded: Oct 13 2016 60 mins
    Why is Business Continuity Management (BCM) relevant to your organization? BCM is most relevant to organizations seeking to mitigate exposure to emerging global risk and trends. Learn the "value added" role of Internal Audit.

    After attending this webinar, you will be able to:
    •Understand the importance of Business Continuity Management to your organization
    •Discover the emerging global risks and trends that could impact the viability of your organization
    •Learn the "value added" role of Internal Audit as it relates to Business Continuity Management
  • DTiWAM Webinar Series DTiWAM Webinar Series Juan Pablo Luchetti Recorded: Sep 30 2016 23 mins
    Digital Transformation in Wealth & Asset Management
  • Can FinTech and AI solve the ESG data puzzle? Can FinTech and AI solve the ESG data puzzle? Responsible Investor & Thomson Reuters Recorded: Sep 28 2016 59 mins
    Can FinTech and AI solve the ESG data puzzle?
    What’s the best route to reduce costs, increase flows and further improve the quality of ESG data from corporate reporter to end-user?

    The 2016 Carrots & Sticks report identifies almost 400 sustainability regulations, guidelines, codes-of-conduct, frameworks and other reporting instruments across 64 countries. How accurate is this data? How are corporations coping with the pressure and cost of reporting? How can asset managers make sense of what it means? And will data vendors turn to AI to collect and deliver this googolesque volume of data?

    During this 60-minute webinar we will discuss:
    • Global trends in sustainability reporting and regulations: What have been the major trends in the last decade and how harmonized have they been? How can auditors help in the quest for more accurate ESG data?
    • How are corporations coping with the growing pressure from regulators to disclose more ESG data? What tools do they use? What can be done to reduce the costs, improve the quality? Can entry be made more accessible for SMEs?
    • As asset owners place more demands on asset managers to integrate ESG in their investment process, how are custodians meeting this challenge and what are the key pressure points?
    • ESG research and data vendors are under increasing pressure to provide more coverage and higher quality ESG data and ratings to investors. This creates cost and logistical challenges in an industry where most of this work is still carried out by specialized analysts. Is AI the answer?

    Speakers:
    - Cornis T. van der Lugt, Centre for Corporate Governance, Stellenbosch University Business School, South Africa
    - Hendrik Bartel, TruValue Labs Inc.
    - Trevor Allen, BNP Paribas Securities Services
    - André Chanavat, Senior Product Manager, Thomson Reuters
    Moderated by: Daniel Brooksbank, Responsible Investor
  • Planning for "Brexit" Planning for "Brexit" Henry Raschen, Head of Regulatory Engagement, HSBC Securities Services Recorded: Sep 15 2016 47 mins
    The United Kingdom electorate voted in a referendum on 23 June 2016 for the country to leave the European Union. While the how and when of "Brexit" remain unknown, firms are already assessing its possible impact.
  • Innovative Logistics Strategies for Omnichannel Fulfillment Innovative Logistics Strategies for Omnichannel Fulfillment Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: Sep 15 2016 34 mins
    Omnichannel fulfillment is an area where bricks-and-mortar retailers have a unique advantage over e-tailers. They can fulfill orders and handle returns from stores to reduce shipping costs and times, and capture orders in any channel, regardless of that channel’s ability to fulfill the order. To support these new cross-channel fulfillment scenarios, retailers must overhaul their IT systems and logistics to gain a single view of inventory across the entire distribution network.

    What Will You Learn?
    In this webinar we highlight how consumers' heightened expectations in an omnichannel era are forcing retailers to improve and innovate fulfillment. For example, the growth of buy online pickup in store (BOPIS) responds to consumers’ demands for convenience and instant gratification. But many retailers have struggled to do omnichannel fulfillment well, so we explain what you need to be successful in terms of technology, logistics and supply chain management.

    Who Should Attend?
    Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Logistics Managers, etc.
  • Planning for "Brexit" Planning for "Brexit" Henry Raschen, Head of Regulatory Engagement, HSBC Securities Services Recorded: Sep 15 2016 48 mins
    The United Kingdom electorate voted in a referendum on 23 June 2016 for the country to leave the European Union. While the how and when of "Brexit" remain unknown, firms are already assessing its possible impact.
  • Foreign Banks Raising Capital in the US Foreign Banks Raising Capital in the US IFLR, Morrison & Foerster Recorded: Sep 1 2016 89 mins
    Foreign banks are increasingly looking to diversify their financing options. With careful planning, they can access US investors without subjecting themselves to the securities registration requirements applicable to public offerings, or the ongoing disclosure and governance requirements applicable to US reporting companies. This webinar will explain how non-US banks can pursue these funding avenues. Topics of discussion will include:

    •Issuances exempt from registration under Rule 144A;
    •Issuances that rely on registration exceptions provided by Securities Act Section 3(a)(2) for securities offered or guaranteed by banks;
    •Setting up a Rule 144A or bank note program for straight debt;
    •Issuing contingent capital or other securities convertible into equity upon the occurrence of a non-viability event;
    •Yankee CD programmes; and
    •Banking and securities regulatory requirements to consider before setting up an issuance program.

    Speakers:

    Anna Pinedo, Partner, Morrison & Foerster
    Bradley Berman, Of Counsel, Morrison & Foerster
    Tom Young, Managing editor, IFLR
  • Emerging Issues and Trends in FCPA and Global Anti-Corruption Programs Emerging Issues and Trends in FCPA and Global Anti-Corruption Programs Steven Parker, Managing Director-Experis Hong Kong/AsiaPac; Ed Williams, Sr. Manager-Experis Finance Risk Advisory Services Recorded: Aug 31 2016 61 mins
    The Foreign Corrupt Practice Act (FCPA) is here to stay. So, too, is the expanding landscape of anti-corruption regulations, enforcement and media scrutiny around the world. Today, more than ever, companies operating domestically and internationally should understand their corruption risks and have effective programs in place to mitigate those risks. This webinar goes beyond an overview of the FCPA to a practice discussion of what your organization can do to help provide senior leadership, the Board, investors, customers and other stakeholders assurance your company is operating ethically and corruption-free across the globe.

    After attending this webinar, you will be able to:
    •Describe the ever changing landscape of anti-corruption legislation and enforcement around the globe
    •Help your organization assess the design and effectiveness of your existing FCPA and global anti-corruption programs against regulatory requirements and leading compliance practices
    •Develop a comprehensive global anti-corruption risk assessment model tailored and scaled to fit your organization
    •Learn of various tools and resources available to assist in your global anti-corruption compliance efforts
    •Understand the specific and unique risk landscape of doing business in China
  • RegTech Webinar Series RegTech Webinar Series Shane Brett Recorded: Aug 31 2016 17 mins
    Regulatory compliance is one of the biggest immediate challenges affecting the financial services industry today. Many market participants are unsure how to meet constantly evolving reporting requirements or how to move to an open API framework in a secure and compliant way.
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Jonathan Hardinges, Dominic Mac Recorded: Aug 4 2016 32 mins
    Rethinking the way we verify identity and how this feeds through to improved KYC, client onboarding and AML
  • Year End Tax Update: What You Need to Know to Prepare for 2017 Year End Tax Update: What You Need to Know to Prepare for 2017 Experis Finance Tax Directors: Myron Vansickel, Raj Basi, and Saleem Siddiqi Dec 7 2016 5:00 pm UTC 60 mins
    Year-end tax activities can be overwhelming and put extra stress on you and your tax team. Corporations are often challenged to clarify what their priorities need to be when planning for year-end tax activities. As 2016 comes to a close, there are a number of important items that should be taken into consideration as part of your planning efforts. This 60-minute webinar will update participants on the latest federal, state and international tax developments.

    By attending this session, participants will:

    -International Tax - Learn about international tax updates including BEPS and, in particular, the impact of Country by Country reporting on compliance and reporting obligations as well as Global Indirect Tax (VAT/GST) updates
    -Federal Tax - Understand the latest developments and changes in federal tax including section 179 and bonus depreciation, deductions which were made permanent or extended via tax extenders bill, and other major developments for business entities
    -State and Local Tax - Be aware of critical state income, sales and use tax legislative modifications and case that may impact your business
  • Demo for Retailers: Demand Forecasting & Inventory Planning-Openbravo & frePPLe Demo for Retailers: Demand Forecasting & Inventory Planning-Openbravo & frePPLe Geoff Nairn, Hicham Lahlou, Maarten Tromp Dec 15 2016 10:30 am UTC 60 mins
    As a follow-up to our previous webinar, "Demand Forecasting and Inventory Planning in Omnichannel Retail: Are You Ready for the Challenge?" this new webinar will examine the Openbravo-FrePPLe integration in greater detail with a practical demonstration of how the integration of both solutions helps retailers implement these critical activities successfully.
  • Brexit: UK plc and the search for consensus Brexit: UK plc and the search for consensus Clifford Chance; Linklaters; Norton Rose Fulbright; Hogan Lovells; Shearman & Sterling Dec 20 2016 11:30 am UTC 90 mins
    Following the UK's Brexit vote on June 23, London’s financial services industry has been preparing for the worst outcome, while campaigning for the best.

    IFLR has been in dialogue with heads of financial services regulation over the past few months. While they all have clear ideas on the best approach for the industry, there is divergence over what that should look like.

    With this in mind, on December 20 2016, we will be hosting the market’s leading lawyers to discuss these issues. The aim of the event will be to establish a common view on the following:

    •Equivalence: how likely, and how appealing?
    •Financial centre model and the changing role of the FCA
    •Dynamic state equivalence and the prospect of fragmented capital markets
    •London as a euro clearing centre

    Speakers will include:

    Peter Bevan, global practice head, financial regulation – Linklaters
    Jonathan Herbst, global head of financial services – Norton Rose Fulbright
    Rachel Kent, global head of financial institutions – Hogan Lovells
    Caroline Meinertz, partner - Clifford Chance
    Barney Reynolds, head of global financial institutions advisory – Shearman & Sterling

    You are invited to participate in what will be a fascinating discussion between the industry leaders on the future for UK corporates and financial institutions in a post-Brexit world.
  • The Softer Side of IT: Cultivating hard-to-find soft skills in today's workforce The Softer Side of IT: Cultivating hard-to-find soft skills in today's workforce Experis and Right Management Jan 17 2017 7:00 pm UTC 60 mins
    IT leaders are increasingly uncovering the value of soft skills within their workforce. They’re telling us that soft skills—specifically communication and collaboration skills—can be as important as some technical competencies. What is causing increasing demands for soft skills in IT talent? How do IT leaders assess the soft skills of new recruits? Can these skills be developed in existing employees?

    During this webinar, you’ll hear experts from Experis and Right Management discuss the need for improved soft skills within today’s IT workforce and how IT leaders can ensure their workforce has the skills required to succeed in today’s world of work.

    By participating in this webinar, you will:
    Understand the increasing importance of communication and collaboration skills in IT roles today
    Gain greater insight from workforce experts about how to assess new IT recruits for soft skill proficiency
    Learn best-practice strategies for developing communication and collaboration skills within your team

    * Please note that this webinar is not eligible for HRCI credit.