TORI Perspectives Issue 8

Issue 8 | Autumn /Fall 2017

Contents

Introduction

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Introduction from Editor, Katie Lawton Regulatory Compliance:

Welcome back! This is Perspectives, our regular publication aimed at giving you a fresh view of enterprise. INTRODUCTION

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State of the Nation Head of Regulatory Compliance, Paul Jennings, explores the current regulatory landscape C-Suite Chit-Chat 8 An interview with interim Head of Risk, Control & Audit at Prudential Global Data Services Credit Rating Agencies and Digital 10 Regulation: Lack of Consumer Protection Head of Risk & Control (Americas), Dax Philbert, comments on the recent Equifax data breach 7 Things 14 We get to know TORI’s new Head of Regulatory Compliance, Paul Jennings MiFID II: Better Late Than Never 16 Consultant, Chris Renardson, provides a pertinent reality check Santa Skydive: 20 Jingle All the Way Down Our scariest fundraising event for CLIC Sargent yet! TORI News 22 toriglobal.com For more information about the content of this publication please contact us at: info@toriglobal.com TORI Perspectives is copyright of TORI Global and all rights are reserved. The contents of this publication may not be reproduced without prior permission. The opinions expressed by C-Suite Chit-Chat interviewees are their own.

Following that, we hear some more from our new Head of Regulatory Compliance, Paul Jennings, although this time we get to know him with our 7 Things interview. These are always really fun to do and I love finding out things about people that you wouldn’t expect. The final article in this issue comes from Chris Renardson. He provides a practical and applicatory piece on MiFID II. With over 25 years banking and consulting experience he is currently leading MiFID II projects in key clients. Last but not least we fill you in on our latest fundraising initiative for CLIC Sargent. You won’t believe what we’re doing! Whether you’re reading this on the tube or in the office, we hope you enjoy a little perspective… Best Wishes Katie Lawton Editor

Welcome to the eighth issue of TORI Global’s ‘Perspectives’ magazine. Every quarter we cover issues and trends in the business world with insights and interviews from leading professionals in their industry. This time we’re focusing on Regulation. We begin with an article from TORI’s new Head of Regulatory Compliance, Paul Jennings. He takes us through the current regulatory landscape covering GDPR, MiFID II, SMR and IDD. Paul has worked on the side of the regulator and now uses that experience to advise the regulated. Next, we have an interview with the interim Head of Risk, Control & Audit at Prudential Global Data Services, Paul Greetham. We get his thoughts on the rise of RegTech and whether incumbents or challengers have the advantage when it comes to GDPR. Thirdly, Dax Philbert, Head of Risk & Control for the Americas, writes about the recent Equifax data breach and the implications on the industry as a whole.

I would love to hear your thoughts so please contact me with any feedback: katie.lawton@toriglobal.com

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