Regulatory Monitoring and Intelligence

Regulatory Monitoring and Intelligence
Collection filed under Regulatory Change Management , Information Technology

Regulatory compliance creates big risks: regulatory risk, reputational risk, and even personal risks. This is increasing the demand for regulatory intelligence. In the Tech Talk video interview “Regulatory Monitoring and Intelligence,” Andrew Neblett, SVP, Thomson Reuters, helps us understand the challenges and opportunities of regulatory intelligence in the 27 interview videos below.

1.

01. Who is Andrew Neblett?

Introduction of Andrew Neblett: SVP, Thomson Reuters

2.

02. Volume and Pace

The exponential increase in regulatatory intelligence over time.

3.

03. Complexity and Conflict

Complexity and conflict as drivers for regulatory intelligence.

4.

04. The Cost of Compliance: Doing It Right

The cost associated with compliance when doing it right.

5.

05. The Cost and Regulatory Intelligence

Utilizing regulatory intelligence to improve efficiency and reduce cost.

6.

06. The Cost of Compliance: Doing It Wrong

The cost associated with compliance when doing it wrong.

7.

07. Asking the Right Questions

Importance of regulatory intelligence and asking the right questions to understand what laws and regulations apply or may apply.

8.

08. Does it Apply?

Factors to consider and how they vary firm to firm when determining what applies.

9.

09. Internal and External Triggers

Examples of internal and external triggers, and their impacts.

10.

10. Reactive vs. Proactive

Taking a reactive versus proactive approach.

11.

11. Regulatory Intelligence and Competition

The role of regulatory intelligence as an advantage over competition when dealing with complicated circumstances.

12.

12. Conduct Risk

Explanation and boundaries of conduct risk.

13.

13. Principle-based vs. Rules-based

The advantages and disadvantages of a principle-based versus rules-based approach.

14.

14. Life Cycle of Regulatory Intelligence

Description of the general life cycle of regulatory intelligence.

15.

15. Before and After Technology Solutions

How technology solutions facilitate positive change through organization and automation.

16.

16. Taxonomy

What a taxonomy is and a look at it in context.

17.

17. Location as a Factor

How regulatory structure varies in different countries.

18.

18. Company Size as a Factor

Influence of company size on relevance in use of regulatory intelligence.

19.

19. Within the Industry

Differences seen among segments of the financial services industry.

20.

20. Stabilization and Change

Stabilization and change in various regulatory aspects.

21.

21. Benchmarking and Analytics

The role of benchmarking and analytics.

22.

22. Enforcements Database

Role of the enforcements database in tracking reinforcement activity.

23.

23. Enforcement and Benchmarking

Enforcement action as a benchmark.

24.

24. Evolution of Regulatory Intelligence

Evolution of the regulatory intelligence platform over the past five years.

25.

25. Mobile Development

Addressing high mobile demand.

26.

26. Integration

Importance of integration and driving towards the open platform model.

27.

27. Where this is Going

Projection of the next five years.

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