The Compliance Files
The Compliance Files - Season 2 - Episode 5

The Compliance Files - Season 2 - Episode 5

November 15, 2021

Kathy Jacobs, ACOI President, speaks with Charles Minutella, Global Head of Customer and Third-Party Risk Intelligence at Refinitiv, about Refinitiv’s report which has been recently published into the changing risk landscape. Each year Refinitiv conducts independent surveys looking at different aspects of customer and third-party risk. Their reports have looked at financial crime through its impact on companies, society and the environment. This year's report looks at the impact of the COVID-19 pandemic. Kathy and Charles discuss the findings of the report.

You can find Refinitiv's Global Risk and Compliance report here.

The Compliance Files - Season 2 - Episode 4

The Compliance Files - Season 2 - Episode 4

November 8, 2021

ACOI President, Kathy Jacobs, speaks with Rob Leslie, Sedicii; Rachel Woolley, Fenergo and Ben Cronin, UBO Services on the benefits of Regtech, the importance of strategy & governance. Their conversation moves to what you should look for in sourcing a Regtech provider and the deployment of a Regtech solution. We also get our guest's takes on the role of the compliance function, pitfalls of deployment and the views of the regulator.

The Compliance Files - Season2 - Episode 3

The Compliance Files - Season2 - Episode 3

November 1, 2021

Three years post GDPR, and anyone who was involved in implementation will still remember the significant effort and resources, and also the scramble for subject matter expertise to get across the line for 28th May 2018. GDPR is for life, nit just for the go-live date, and while no doubt a huge amount was achieved, the number of enforcement actions across the European Union would suggest that there is much still to do to achieve strong baseline compliance with the Regulation. Kathy Jacobs, ACOI President, speaks with Shane Carrick and Rosita Gioia of Grant Thornton about the benefits of conducting a GDPR health check, reviewing Data Protection compliance and the challenges someone may face when undertaking a GDPR review.

The Compliance Files - Season 2 - Episode 2

The Compliance Files - Season 2 - Episode 2

October 18, 2021

Kathy Jacobs, ACOI President, speaks with Naomi Burley, CEO of the GRC Institute in Australia, on the topic of vulnerable customers. Their conversation starts with the justification and scope of the Royal Commission in Australia before moving to how a vulnerable customer is defined. Kathy and Naomi also discuss the response from the Compliance Profession to the Royal Commission, what changes Financial Institutions made and the role & responsibility of Board Members. In this episode we also get insight into how Australia dealt with their own Accountability Regime. 

The Compliance Files - Season 2 - Episode 1

The Compliance Files - Season 2 - Episode 1

October 11, 2021

In the first episode of season two we speak to Ian Drennan, Director of Corporate Enforcement, on the role and powers of his Office, the implications of the Hamilton Report and the Action Plan. During this conversation is a discussion on what Boards should be doing to learn the lessons of the past.

ICQ Audio Special - Summer Edition 2021

ICQ Audio Special - Summer Edition 2021

August 24, 2021

We are delighted to launch a new feature of our ICQ Magazine, the ICQ Audio Special. Each edition of the ICQ, we will select an article that will be read aloud and will be followed by an interview with the author.

For our inaugural ICQ Audio Special we have selected Time to Act: New Standard Contractual Clauses and Practical Considerations for Financial Institutions by Flavien Corolleur Senior Legal Counsel/ Director & Data Protection Officer at SS&C Financial Services (Ireland) Limited and member of the ACOI DP&IS Working Group.

The Compliance Files - Episode 16

The Compliance Files - Episode 16

July 28, 2021

The Minister for Finance, Paschal Donohoe TD, received agreement from his Cabinet colleagues to approve the drafting of the Central Bank (Individual Accountability Framework) Bill on Tuesday 27th July 2021, the main purpose of which is to improve accountability in the financial sector.  In the 4th episode in the ‘Voice of Compliance’ series, we are delighted to have James Meagher, Head of Compliance and Conduct Risk at Permanent TSB and Orla O'Connor, Chair and Partner, Finance and Financial Regulation, Arthur Cox speak to ACOI President, Kathy Jacobs on the legislative and regulatory framework for Fitness and Probity, the Central Bank's Dear CEO Letters, changes to the Fitness & Probity regime given the imminent approach of the SEAR regime and what firms should do in anticipation of and preparation for SEAR.

SEAR Press Release

One of the roles of the Central Bank of Ireland is to assess the suitability (i.e. fitness and probity) of individuals put forward for certain senior roles (called preapproval controlled functions or ‘PCFs’) in regulated firms. As part of their assessment, they hold one or more interviews with a PCF applicant. This Guide provides an overview of the fitness and probity interview process, what to expect on the day of the interview and what happens after an interview. 

F&P Interview Guide

The Compliance Files - Episode15

The Compliance Files - Episode15

July 20, 2021

ACOI President Kathy Jacobs, speaks to Liam McKenna, partner, Mazars, about data protection certification approved under GDPR articles 42 and 43. The first data protection certification is expected to be approved this summer with EuroPrivacy the certifying body. Kathy and Liam discuss the operation of a certification regime under GDPR and also the benefits, opportunities and the obligations for data controllers.

The Compliance Files - Episode 14

The Compliance Files - Episode 14

July 13, 2021

The Voice of Compliance - is with Alan Moore, Data Protection Specialist at MetLife and guest host, Tom O'Connor, ACOI Data Protection and Information Security Working Group Chair. Their conversation looks at the role of the DPO, how you might get into Data Protection and what you need to be effective and successful. They also discuss the elements of an effective data protection framework and DP regulatory developments and future challenges. 

The Compliance Files - Episode 13

The Compliance Files - Episode 13

July 5, 2021

ACOI President Kathy Jacobs, speaks to John McCarthy, Deloitte, about new Regulations commenced on 19 April 2021, where (re)insurers authorised by the Central Bank of Ireland are now required to prepare pre-emptive recovery plans by 31 March next year. Their conversation covers the basics of what a recovery plan is as well as delving into the detail regarding the macro benefits, regulator's reasoning, key elements of a recovery plan and what does the future hold.

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