Following the Rules – Details, episodes & analysis

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Following the Rules

Lucy McNulty

Business

Frequency: 1 episode/14d. Total Eps: 76

An insider’s guide to the laws dictating life within UK and EU financial services, the people influencing their development and policing finance workers’ compliance

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Data updated on 04/07/2026

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https://en.wikipedia.org/wiki/Carrington_Event
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Score global : 58%

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FCA CEO Nikhil Rathi on his to-do list for 2025, the regulator's future, and life at the helm of the City watchdog

Episode 76

Tuesday, January 28, 2025 • Duration 50:57

Today’s guest discusses the Financial Conduct Authority’s to-do list for 2025 and outlines what City firms should and should not expect from the regulator as it seeks to prioritise growth and competitiveness in the coming months. He details the challenges commensurate with this new approach that he would like lawmakers to be more aware of. He also opens up about life at the helm of the City watchdog, his strategies for copying with the “intense public scrutiny” that has dominated his tenure as CEO of the FCA, and plenty more in between.

Nikhil Rathi’s 23-year career includes several senior roles within previous Labour, Conservative and coalition governments’ Treasury departments and just under five years as chief executive of the London Stock Exchange plc.

Since 2020, he has overseen regulation of the UK financial services sector as CEO of the FCA.

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IA's Chris Cummings calls on lawmakers and regulators to agree a 'common vision' with the investment management sector and outlines the rules that must be cut in the drive to boost UK growth

Episode 75

Tuesday, January 14, 2025 • Duration 42:12

Today’s guest calls on the government and City regulators to agree a “common vision” with the investment management industry to better enable those working in the sector to generate long-term growth in the UK.

He details the areas where he believes the Financial Conduct Authority “still needs to demonstrate that they have completely understood” the government’s drive to make the UK a more attractive investment destination.

He also explains why he supports calls to get rid of what he sees as unnecessary red tape introduced under the Senior Managers and Certification regime, and plenty more besides.

Chris Cummings’ career spans four decades and includes several senior posts in the industry, as well as within global consulting firms. He was the founding chief executive of lobby group TheCityUK from 2010 until 2016 when he became CEO of the Investment Association, the trade body for UK-based investment managers.

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Behavioural risk experts Dr. Wieke Scholten and David Grosse outline where the banking sector and its regulators are going wrong in their approach to managing their cultural concerns

Episode 74

Tuesday, December 10, 2024 • Duration 35:16

Today’s guests explain where they believe banks and their regulators are going wrong in their efforts to “fix” the sector’s cultural issues.

They detail how lawmakers, financial bosses and their supervisors can best ensure that ongoing and increasing efforts to loosen rules governing behaviour in the industry don’t lead to a repeat of previous banking crises.

And they outline why they believe it is critical that the industry and all its stakeholders take steps now to better understand “the complex behavioural landscape” in which they operate.

Dr. Wieke Scholten is a social and organisational psychologist with a particular focus on the financial services sector. Her 21-year career includes five years as a senior supervisor of behaviour and culture at the Dutch prudential regulator DNB and two years as head of behavioural risk at NatWest.

David Grosse’s 30-year career, meanwhile, includes several senior audit, risk and COO positions at various banking giants including Barclays and HSBC. In 2017, he formed a behavioural risk team within HSBC Global Banking and Markets, which he then ran until leaving the bank in 2022 to work as an independent consultant advising organisations on conduct, culture and behavioural risk.

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UK Finance's David Postings on what should follow the government's drive to bolster the City's growth and competitiveness, and why it's time for Meta to step up its efforts to combat fraud

Episode 73

Tuesday, November 26, 2024 • Duration 28:08

Today’s guest discusses how finance executives and their regulators can best support the government’s efforts to drive growth and competitiveness in the UK’s financial services sector.

With that in mind, he outlines why he believes it is important to debate whether the Financial Conduct Authority has taken the right approach in its recent efforts to better protect UK consumers.

And he calls out tech giant Meta for “not doing enough” to stem the volume of fraud taking place on its platforms.

David Postings’ 40-year career in financial services includes several senior roles at some of the UK’s largest banks including Barclays and Lloyds Bank. In 2021, he was appointed chief executive of UK Finance, the voice of the UK’s banking and finance industry.

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Special episode: Smarsh's Shaun Hurst and Paul Taylor on the mistakes finance bosses are making in their efforts to better track non-financial misconduct within their workforce, and how to avoid them

Episode 72

Tuesday, November 12, 2024 • Duration 24:08

Today’s episode is a special one produced in association with Smarsh, a global technology firm providing global financial services companies with the tools to capture, store, and monitor their communications.

Today’s guests discuss how organisations are responding to increasing regulatory pressure to improve their awareness of any non-financial misconduct occurring within their workforce.

They outline the major challenges arising from this requirement to monitor for such indicators of toxic culture, and they explain how artificial intelligence tools can best be used to address these issues.

Shaun Hurst previously managed technology for Citigroup’s security and investigations teams in Asia-Pacific and Europe, the Middle East and Africa. Since 2022, he has worked as Smarsh’s principal regulatory advisor.

Paul Taylor is a former senior IT executive for UBS’s legal, compliance, risk and internal audit functions. Since 2021, he has worked as the vice president for product management for Smarsh's Enterprise Conduct solution.

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Natixis' Britt Johnston and portfolio NED Tina Mavraki on the common mistakes finance bosses make when addressing conduct failings, and how regulators can stop cultural 'window dressing'

Episode 71

Tuesday, October 29, 2024 • Duration 35:16

Today’s guests outline where financial institutions are going wrong in their efforts to address their cultural shortcomings.

They discuss the practical steps that those managing finance workers can take to meaningfully improve the culture within their organisations and they outline how regulators could best support their efforts.

They also explain how such changes, and the cultural improvements deriving from them, can ultimately add value to the businesses embracing them.

Britt Johnston’s 30-year career includes 26 years in various senior roles on bank trading floors. In 2020, she took on responsibility for the UK conduct and culture programme at Natixis before being promoted in 2022 to oversee the investment bank’s conduct and culture initiatives in Europe, the Middle East and Africa.

Tina Mavraki’s 26-year career includes stints at banking giants Citigroup and Morgan Stanley. Since 2018, she has worked as a portfolio non-executive board director and strategic adviser for several financial institutions and research groups including Cambridge University’s Centre for Climate Engagement.

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Special episode: Smarsh's Brandon Carl on the technology, regulatory challenges and industry trends shaping the future of communications surveillance

Episode 69

Monday, September 30, 2024 • Duration 42:05

Today’s episode is a special one produced in association with Smarsh, a global technology firm providing financial services companies with the tools to capture, store, and monitor their communications.

Today’s guest discusses how financial institutions are changing their communications surveillance programmes in response to an increasing regulatory focus on this space.

He details how generative AI is transforming both communications surveillance technology and the role of the professionals tasked with using such tools.

He also outlines how finance bosses and compliance teams can develop best-in-class surveillance processes.

Brandon Carl is executive vice president for AI and product strategy at Smarsh.

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Podcast notes

Smarsh's off-channel e-book: https://www.smarsh.com/off-channel-communications-emerging-best-practices

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Conor Sewell, former Treasury advisor now Forefront Advisers director, outlines what City bosses and their regulators should expect under Labour

Episode 68

Monday, September 16, 2024 • Duration 37:07

Today’s guest discusses how he expects the Labour administration will prioritise a long list of pending financial services reforms inherited from the previous government.

He explains how such a reform programme could be interpreted to provide City bosses with the clarity they seek as to how the government will address perceived tensions between its planned pro-growth agenda and its commitments to better protect consumers.

And he outlines what upcoming and current pain points regulators and lawmakers must work to address now to avoid the risk of the UK falling behind.

Conor Sewell brings a useful perspective to all these topics having worked as an analyst for the Bank of England's Capital Markets Division, and as Senior Policy Advisor for the Treasury’s Financial Services Group. Since 2023, he has advised some of the world’s biggest financial services companies on policy, and politics as a director at political advisory group Forefront Advisers.

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PRA CEO Sam Woods on life at the helm of the UK's top finance regulator and his regulatory priorities for 2024 and beyond

Episode 67

Monday, September 2, 2024 • Duration 43:17

Today’s guest outlines what’s to come in a new package of tougher global capital requirements known as Basel 3.1. He explains how banks can best prepare for the reforms and discusses the prospects of a delay to their implementation in the UK.

He outlines how the Prudential Regulation Authority is responding to a new obligation to consider the impact of their activities on the UK’s growth and competitiveness. He also opens up about life at the helm of the UK’s top finance regulator, his thoughts on what he’ll do once his tenure as CEO of the PRA comes to an end, and plenty more in between. Sam Woods’ career began at consulting giant McKinsey, and includes 23 years guiding or advising on various aspects of UK financial services policy and regulation. Since 2016, he has overseen the UK banking and insurance sectors as head of the PRA and the deputy governor of the Bank of England.

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Links of note:

Monsters in the deep? − a speech by Jonathan Hall, the Bank of England's external member of the Financial Policy Committee, referenced by Sam Woods around 32 mins into the episode.

The 'Carrington Event' − referenced by Sam Woods 40 mins into the episode.

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Following the Rules – Details, episodes & analysis

Podcast details

Recent rankings

Apple Podcasts

Spotify

Shared links between episodes and podcasts

RSS feed quality and score

Publication history

Latest published episodes

Related Shows Based on Content Similarities

Apple Podcasts

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Related Shows Based on Content Similarities

Following the Rules – Details, episodes & analysis

Podcast details

Recent rankings

Apple Podcasts

Spotify

Shared links between episodes and podcasts

Other5

Wikipedia1

RSS feed quality and score

Publication history

Latest published episodes

Similar podcasts and content

Related Shows Based on Content Similarities

Apple Podcasts

Spotify

Related Shows Based on Content Similarities

Other5

Wikipedia1