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Some of our events are being rescheduled but many of our upcoming events are now taking place as webinars.
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Financial institutions, financial crime and regulation

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Derek Leatherdale, Managing Director, GRI Strategies
Dr Viri Chauhan , Managing Director , Themis
Katarina Cook, Fund Manager, Brewin Dolphin
Andrew Cunningham will be charing the webinar

Financial institutions, financial crime and regulation - New priorities for directors and managers as they respond to regulatory pressure

Financial institutions are under more pressure than ever to ensure that they aren't used by financial criminals to launder money, finance terrorism, or facilitate other criminal activity.

The costs of poor compliance can be huge, with large fines being imposed for control failures even when they don't lead to criminal activities.

Last year, ABN AMRO was fined €480m by the Dutch authorities for lax controls in areas related to client on-boarding and transaction monitoring. And earlier this year, NatWest settled criminal charges related to the receipt of hundreds of millions of pounds in cash through a branch in the English Midlands.

Navigating the regulation
How should directors and managers of financial institutions navigate this increasingly hostile regulatory and legal environment? What practical steps should they take? What do regulators and law makers expect to see?

This webinar is presented by LIBF's Centre for Governance, Risk and Regulation and will address three themes:

  • the key events that have led standard setters, regulators and lawmakers to put more pressure on financial institutions to prevent money laundering and the financing of terrorism

  • the most important standards, regulations and laws governing how financial institutions must now address their money laundering (ML) and trade finance (TF) risks

  • the action directors and managers should take to ensure that they are complying with new regulatory and legal expectations.

Who will be speaking?
Derek Leatherdale, Managing Director, GRI Strategies
Dr Viri Chauhan , Managing Director , Themis
Katarina Cook, Fund Manager, Brewin Dolphin
Andrew Cunningham will be charing the webinar

Derek Leatherdale is the Founder and Managing Director of GRI Strategies, a London-based firm that helps companies to strengthen their management of geopolitical risk exposures. Before establishing GRI, Derek founded HSBC's group geopolitical risk function and then led global government affairs campaigns for the group, including on new public policy and regulatory approaches to AML/TF and Sanctions. Prior to HSBC, Derek worked in national security and intelligence roles for the UK government.

Katarina Helde Cook
is MLRO and head of Financial Crime at Brewin Dolphin, one of the largest UK fund management firms. She was previously Head of Compliance and MLRO at Europe Arab Bank and has held various financial crime prevention roles at Royal Bank of Scotland and ABN Amro. Katarina is a frequent conference speaker and regularly briefs financial professionals on the implications of current and upcoming regulations related to financial crime and terrorist financing.

Dr Viri Chauhan
is a Managing Director at Themis, a FinTech firm that helps organisations manage all aspects of financial crime.

Viri specialises on helping clients respond to enforcement actions related to financial crime and assists those are already subject to regulatory notices. Before working for Themis, he worked for TSB Bank, Deutsche Bank, and HSBC in roles related to financial crime remediation.

Andrew Cunningham
is a visiting professor at the London Institute of Banking and Finance (LIBF) where he chairs the Editorial Board of the Centre for Governance, Risk and Regulation. Outside LIBF, Andrew advises banks and non-banks on ways to bring their corporate governance practices into line with international standards, and how to upgrade their risk governance and internal controls.

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