Articles by Matthew Baker:

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The Global Regulatory Environment: Key Issues for Compliance Teams
Friday, 11th October 2013

Ensuring compliance with the rules of a home regulator alone has become increasingly challenging, but add to this enhanced regulation in all markets in which a global financial services institution operates, then firms have an unenviable task to ensure compliance. Matthew Baker and Victoria Brocklehurst examine the key issues for compliance teams, from differences of approach between jurisdictions to conflicting approaches between initiatives and planning for the impact of new controls.

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The Global Regulatory Environment: Regulatory Risks for Businesses
Thursday, 10th October 2013

Identifying the regulatory risks for global organisations is an increasingly-complex task as the amount of regulation and legislation faced by the financial services industry continues to grow at an alarming rate. Victoria Brocklehurst and Matthew Baker explain the differences of approach to compliance between countries and jurisdictions. They outline key risks which compliance teams should consider, from extra-territoriality to the varying rules surrounding the marketing of products into different jurisdictions.