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Financial Regulation

  • 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
  • Building a Successful Omnichannel Strategy for Physical Stores Building a Successful Omnichannel Strategy for Physical Stores Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: Jul 21 2016 36 mins
    Consumers are rushing to embrace the benefits of omnichannel retailing by choosing retail brands and businesses that have adapted the shopping experience to fit their connected "always on" lives. The physical store will continue to play a central if changed role in this new scenario and so bricks-and-mortar retailers need to leverage the strengths of their existing physical store network and their brand to offer customers a transformational shopping experience across all channels.

    What Will You Learn?
    In this webinar we highlight how retailers are using omnichannel to create differentiated shopping experiences designed to boost sales and margins, build loyalty and achieve a sustainable competitive advantage. We explain how information technology can help retailers successfully implement key omnichannel concepts in a way that builds on the advantages of an existing physical store network and evolves at a pace the retailer can decide.

    Who Should Attend?
    Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Merchandise Managers, etc.
  • Transaction Monitoring Model Basics: Management, Selection and Security Transaction Monitoring Model Basics: Management, Selection and Security Robert Colatarci, Peter D. Wild, Rebecca Schauer Robertson, and Shannon Cox Recorded: Jul 19 2016 58 mins
    Join Experis Finance for a complimentary, virtual panel webinar focused on whether or not your AML models for transaction monitoring perform according to regulatory expectations.

    Regulatory guidance requires independent validation of models used for risk management purposes, including AML systems. Greater emphasis is being placed on institutions to identify suspicious activity and ensure that the models used are effective. This panel, which includes both community bank and large bank perspectives, will discuss the independent validation of transaction monitoring systems, examples of typical validation findings, and the development of an action plan to address the results of a validation.

    After attending this webinar,

    •You will begin to understand the necessary components of Data Management as it relates to the set-up of Transaction Monitoring Systems
    •You will understand the current rules-based systems, the newer behavioral-based systems, and how they work
    •You will understand the basics of how to select a new transaction monitoring system
    •You will understand the next generation of Cyber Threats and how they differ from traditional attacks

    Presenters include:
    - Robert Colatarci, Senior Manager, Financial Institution Services, Experis Finance
    - Peter D. Wild, Internal Audit Partner, Wild AML Services
    - Rebecca Schauer Robertson, Sr. Vice President - Director of AML Compliance, South State Bank
    - Shannon Cox, Sr. Vice President - Enterprise BSA Officer, First National Bank of Santa Fe
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Sue Dawes, Sarah Munro, Steve Pannifer, Don Thibeau Recorded: Jul 18 2016 36 mins
    Advances in identity verification and management: How new technologies can reduce oversharing of personally identifying information, fraud and identity theft
  • RI webinar: Drought - preparing for current and future water security challenges RI webinar: Drought - preparing for current and future water security challenges Responsible Investor Recorded: Jul 14 2016 58 mins
    Overview:

    ‘Water crises’ is recognised as one of the top 3 critical global risks by the World Economic Forum. In addition water scarcity, as has been recently demonstrated in countries such as Brazil and the US, can have significant implications for economic productivity. In 2015 the California drought cost $2.7 billion and shaved 0.1% off California’s GDP. The 2015 drought in Brazil is predicted to have cut GDP growth by 1-2 %, pushing the country into negative growth and contributing to inflation.

    Draft Agenda:
    * The current impacts of drought on economic productivity
    * What does this mean for investors (portfolio risk) and banks (lending activities)?
    * How is the sector dealing with these risks?
    * Is it possible to create a drought resilient finance sector?
    * And what are the implications for banks, pension funds, insurers etc.?

    Speakers:
    Anders Nordheim, Programme Coordinator, Biodiversity, Ecosystem Services and Water, UNEP FI
    Hubert Aarts, Co-Head of Listed Equities at Impax Asset Management and Manager of BNP Paribas Aqua Fund
    Piet Klop, Senior Advisor Responsible Investment at PGGM Investments
    Cate Lamb, Global Head of Water, CDP

    Moderated by:
    Sophie Robinson-Tillett, Deputy Editor, Responsible Investor

    In partnership with: Natural Capital Declaration
    Sponsored by: BNP Paribas Investment Partners
  • Is Your Contact Center Ready for the Holidays? Is Your Contact Center Ready for the Holidays? Mike Burke - Director Product Mktg, Testing Solutions Recorded: Jul 7 2016 50 mins
    How Pre-Season Training Drives Peak Season Results.

    As the fall retail season approaches, now is the time to put your retail or financial services Contact Center through its paces so that you can proactively identify issues that will cause your Contact Center to grind to a halt when it needs to be performing at its peak. Learn how you can test and train now and set up an ongoing contact center assurance program that will have you at the top of your game.
  • Everything you need to know about the revised EMIR RTS Everything you need to know about the revised EMIR RTS UnaVista Recorded: Jul 6 2016 47 mins
    **please note since broadcast of this webinar the implementation date of the regulation has been delayed. Please check www.lseg.com/unavista for more information**

    EMIR trade reporting is going to go through some fundamental changes in the beginning of 2017. ESMA are introducing a large addition of new fields, changes to position reporting, collateral reporting and asset class specific fields. These EMIR trade reporting changes are far more complex and onerous than the Level 1 and Level 2 validation changes – if you are not already planning for these changes, you need to start now.

    In this webinar we will help get you up to speed about what to expect and how to prepare.
  • G20 Derivatives Reforms Webinar G20 Derivatives Reforms Webinar Henry Raschen, Head of Regulatory and Industry Affairs Recorded: Jul 6 2016 51 mins
    Global regulators have been demanding central clearing of derivatives as part of their efforts to reform markets in the wake of the 2008 financial crisis. New rules as to margining of uncleared derivatives are being rolled out across the globe. It has never been more important for firms to understand and be operationally ready for the impact of these reforms.

    Join HSBC and our panel of regulatory experts as they give their insights and latest updates on the status of G20 swap reforms across Europe and Asia,
  • G20 Derivatives Reforms Webinar G20 Derivatives Reforms Webinar Henry Raschen, Head of Regulatory and Industry Affairs Recorded: Jul 6 2016 54 mins
    Global regulators have been demanding central clearing of derivatives as part of their efforts to reform markets in the wake of the 2008 financial crisis. New rules as to margining of uncleared derivatives are being rolled out across the globe. It has never been more important for firms to understand and be operationally ready for the impact of these reforms.

    Join HSBC and our panel of regulatory experts as they give their insights and latest updates on the status of G20 swap reforms across Europe and Asia,
  • Are you ready for Apple Pay and tokenized payments? Are you ready for Apple Pay and tokenized payments? Craig Porter - Payments & Infrastructure ANZ, IR | Jamie Pearson - Senior Product Manager, IR Recorded: Jun 28 2016 33 mins
    Apple Pay and tokenized payments have begun rolling out around the world. In Europe they are well underway and in Asia Australia and Singapore are starting.

    This webinar is not only about monitoring Apple Pay and other tokenized transactions it is also about rolling out, managing new technologies and measuring the adoption and success of your investment.
  • Pricing Power: Optimize Retail Promotions for Competitive Advantage Pricing Power: Optimize Retail Promotions for Competitive Advantage Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: Jun 9 2016 40 mins
    Retailers face intense competition for a decreasing share of the customer's wallet and the challenges are even more acute in markets that are deflationary. Promotions now play an increasingly important role in growing sales but an excessive dependence on deep and broader discounts and promotions can damage not only the bottom line but also the brand.

    What Will You Learn?
    In this webinar, we highlight some of the trends that are driving the increased use of promotions and discounts in retailing. We explain how information technology can help retailers develop "smarter" promotional and discount strategies. These seek to influence customer behavior and boost loyalty instead of simply generating a short-lived sales boost or clearing inventories.

    Who Should Attend?
    Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Merchandise Managers, etc.
  • Ending too big to fail: bank resolution strategies and counterparty impacts Ending too big to fail: bank resolution strategies and counterparty impacts Morrison & Foerster, IFLR Recorded: Jun 8 2016 93 mins
    As jurisdictions continue to move forward with strategies for resolving large banking organisations, recent turmoil in relation to European bank stocks has raised questions as to how markets will react to the initiatives and perceived differences between them. This webinar will take stock of comparative bank resolution regimes and the stated strategies of the resolution authorities under those regimes. We will also look at ‘pre-emptive’ measures such as structural changes and changes to the terms of bank instruments. From a market point of view, we will also discuss the effect that the above factors, the possibility of bail-in, and the need to raise TLAC/MREL/PLAC, will affect the market for bank capital and debt instruments as well as other banking transactions.

    Speakers
    Oliver Ireland, Morrison & Foerster
    Jeremy Jennings-Mares, Morrison & Foerster
    Doncho Donchev, Crédit Agricole Corporate and Investment Bank
    Tom Young, IFLR
  • Skype for Business: Troubleshooting 201 (APAC Timezone) Skype for Business: Troubleshooting 201 (APAC Timezone) John Hand - Global Microsoft Alliance Director | Dave Bottomley - Communications Solutions Engineer Recorded: May 27 2016 57 mins
    Key Steps to effective troubleshooting a Skype for Business UC environment using Prognosis & Testing Solutions.

    APAC Timezone
  • Are your Real-time Payments Happening in Real-time? Are your Real-time Payments Happening in Real-time? Jamie Pearson - Senior Product Manager, IR and Craig Porter, Payments and Infrastructure, IR Recorded: May 26 2016 44 mins
    As immediate and real-time payments initiatives sweep the banking world, financial institutions are having to reconsider the architecture of their largely legacy back-end application environments. For many, this means the introduction of newer technology like a Payment Hub, that can orchestrate the payment flow through those legacy systems, while incorporating payments from newer channels.
    These changes can present a number of new risks and challenges, as well as new opportunities for service improvement.
    In this webinar, IR will share their thoughts, and the experiences of their customers, on ensuring that availability and SLAs constraints are met, and the overall health of the real-time payments ecosystem is maintained.
  • Addressing your data integrity for upcoming regulations Addressing your data integrity for upcoming regulations UnaVista, LSEG Recorded: May 25 2016 47 mins
    Firms are changing the way that they perform reconciliations. The large amounts of regulation affecting firms has placed data integrity high up the priority list. Reconciling across systems internally and externally, whilst having access to the correct reference data sources is an issue.

    In this webinar CEB TowerGroup will present their new research into financial services and why firms are looking differently about how they reconcile their regulatory data.

    UnaVista will provide a regulators perspective on what they look for in reported data, and some insight into how technology can help firms put the correct systems and controls in place. There will then be case study from a large buy-side firm on how they address their data integrity for regulations.

    Agenda
    - CEB Market Analysis 2016 - Gert Raeves, CEB TowerGroup
    - Regulators perspective - Tom Wieczorek, UnaVista, LSEG
    - Technology's role in assisting firms with data integrity - Tom Wieczorek, UnaVista, LSEG
    - Industry case study - Tom Wieczorek, UnaVista, LSEG
    - Q&A
  • Hands-on Demo: How e-Commerce Integration Transforms in-Store Retailing Hands-on Demo: How e-Commerce Integration Transforms in-Store Retailing Geoff Nairn, Enterprise Solutions Specialist at Openbravo, and Galder Romo, Founder at SMF Consulting (Gold Partner) Recorded: May 25 2016 50 mins
    As more customers see omnichannel as the norm, retailers need to be able to integrate the offline and online shopping experience. Openbravo Commerce Suite offers off-the-shelf integration with leading e-commerce platforms so making it easy to integrate product and customer data, orders and delivery information across all channels.

    What Will You Learn?
    - In this webinar we will demonstrate the fundamental features of the Openbravo Commerce Suite integration with Magento, a leading open-source e-tailing platform. In addition, we will show how retailers can easily implement omnichannel strategies by leveraging the tight integration features to gain enterprise-wide visibility of product, stock and customer data, orders and delivery information.

    Who Should Attend?
    - Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Merchandise Managers, etc.
  • MiFID II for U.S. Firms MiFID II for U.S. Firms UnaVista, DTCC and Charles River Development Recorded: May 18 2016 46 mins
    MiFID II is going live in January 2018 and many U.S. based firms will have a reporting obligation. This webinar details who will need to report and what data needs to be included.

    Agenda
    – Key points of MiFID II for US based firms – Tom Wieczorek, UnaVista, LSEG
    - Overview of what MiFID II is
    - Who is impacted
    - What is reportable
    - Key challenges
    – MiFIR Connectivity via DTCC - Mark Steadman, DTCC
    – Charles River - Alun Cutler, Charles River Development
  • The new Cayman LLC regime & resulting tax entitlement benefits for investors The new Cayman LLC regime & resulting tax entitlement benefits for investors Nick Pettifer, IFLR; Melissa Lim, Walkers; and Len Lipton, GlobeTax Recorded: May 17 2016 50 mins
    There has been much demand from the US financial services industry for a Cayman Islands LLC and the establishment of this product solidifies the Cayman Islands' commitment to providing sponsors, promoters and investors with flexible, commercial solutions.

    The Cayman Islands LLC will be very similar to a Delaware limited liability company with some subtle differences that make it an attractive investment fund or structuring vehicle.

    This webinar will provide:
    • a practical overview of the Cayman LLC regime;
    • a useful comparison to the current Delaware LLC law; and
    • tangible tax benefits investors can expect as result of this new product.

    Presented by: Melissa Lim, Walkers; Len Lipton, GlobeTax; and Nick Pettifer, IFLR
  • Climate Risk Reporting Climate Risk Reporting Daniel Brooksbank, Editor, Responsible-Investor.com Recorded: May 12 2016 58 mins
    The battle of the resolutions – focus on ExxonMobil:
    • Can an informal alliance of global investors achieve their aim of establishing a new set of norms around climate risk reporting and disclosure?
    • With European investors and corporations broadly backing calls for improved climate risk reporting and disclosure, is this the moment we will see North America come on board?
    • Will this resolution end the apparent inconsistency by asset owners and asset managers who vote for climate risk resolutions when supported by management but not when companies resist?

    Speakers:
    • Patrick Doherty, Director of Corporate Governance, NYS Office of the State Comptroller (USA)
    • Edward Mason, Head of Responsible Investment, Church Commissioners (UK)
    • Anne Simpson, Investment Director, Global Governance, CalPERS (USA)
    • Helen Wildsmith, Stewardship Director - Climate Change, CCLA Investment Management (UK)•
    • Shanna Cleveland, Senior Manager - Carbon Asset Risk Initiative, Ceres

    Overview:
    Stockholder Proposal Regarding Report on Climate Change Impact Assessment is Item No 12 on the ballot at ExxonMobil’s AGM on 25 May. It has been co-filed by England’s Church Commissioners and the New York State Common Retirement Fund in the US. This transatlantic partnership is a first for the Church Commissioners.

    The resolution asks ExxonMobil to improve its annual reporting on climate risk and to disclose to investors how resilient the company’s portfolio would be if efforts to restrict warming to 2° were successful. In an article written by Edward Mason for Responsible Investor link, he explains that their resolution doesn’t ask ExxonMobil to change its house view that the 2° target will be overshot. It simply asks them to report on how the business would fare were the Paris Agreement to be implemented. It is the same request for reporting on portfolio resilience that the “Aiming for A” shareholder resolutions made of BP and Shell in 2015.
  • Innovating Apparel and Footwear Retailing for an Omnichannel World Innovating Apparel and Footwear Retailing for an Omnichannel World Elena Martínez, Retail Specialist at Openbravo, Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: May 5 2016 55 mins
    The digital and physical selling environments are converging fast in the apparel and footwear sectors. As more customers see omnichannel as the norm, retailers need to leverage new technology to address customers' heightened expectations if they do not want to risk losing sales and their most profitable customers.

    What Will You Learn?
    - In this webinar we highlight some of the trends accelerating change in the apparel and footwear sectors, and explain how existing multichannel strategies and legacy technologies struggle to adapt to today's more dynamic and complex retailing environment. We describe how an omnichannel approach can help apparel and footwear retailers address the unique challenges facing their businesses.

    Who Should Attend?
    - Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Merchandise Managers, etc.

    When Will The Webinar Take Place?
    - Thursday 5th May 2016 at 11:30 am CEST
  • Global Distribution Webinar Global Distribution Webinar Henry Raschen - Head of Regulatory Engagement Recorded: May 5 2016 54 mins
    Global regulators are driving changes to existing rules and creating new opportunities for the cross-border distribution of funds. Join HSBC and our panel of regulatory experts as they give their insights and latest updates on passporting schemes in Europe and Asia
  • Skype for Business: Troubleshooting 101 Skype for Business: Troubleshooting 101 John Hand - Global Microsoft Alliance Director | Dave Bottomley - Communications Solutions Engineer Recorded: Apr 28 2016 55 mins
    This session will look at the fundamentals for troubleshooting Skype for Business in your UC eco-system.

    Including a live demo of Prognosis. It will be an interactive presentation including time for Q&A
  • Global Fund Distribution Update Global Fund Distribution Update Henry Raschen, Head of Regulatory and Industry Affairs HSBC Recorded: Apr 28 2016 56 mins
    Global regulators are driving changes to existing rules and creating new opportunities for the cross border
    distribution of funds. Join HSBC and our panel of regulatory experts as they give their insights and latest
    updates on passporting schemes in Asia and Europe.
  • Global Fund Distribution Update Global Fund Distribution Update Henry Raschen, Head of Regulatory and Industry Affairs HSBC Recorded: Apr 28 2016 51 mins
    Global regulators are driving changes to existing rules and creating new opportunities for the cross border
    distribution of funds. Join HSBC and our panel of regulatory experts as they give their insights and latest
    updates on passporting schemes in Asia and Europe.
  • RegTech Webinar Series RegTech Webinar Series Shane Brett Aug 31 2016 1:00 pm UTC 45 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.
  • 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 Aug 31 2016 3:00 pm UTC 60 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
  • Foreign Banks Raising Capital in the US Foreign Banks Raising Capital in the US IFLR, Morrison & Foerster Sep 1 2016 3:00 pm UTC 90 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
  • Planning for "Brexit" Planning for "Brexit" Henry Raschen, Head of Regulatory Engagement, HSBC Securities Services Sep 15 2016 8:00 am UTC 60 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 Sep 15 2016 9:30 am UTC 60 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 Sep 15 2016 1:00 pm UTC 60 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.
  • Can FinTech and AI solve the ESG data puzzle? Can FinTech and AI solve the ESG data puzzle? Responsible Investor & Thomson Reuters Sep 28 2016 2:00 pm UTC 60 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
    Moderated by: Daniel Brooksbank, Responsible Investor