As the second post in our series of seven blogs on the FCA’s increasing focus on corporate conduct we look at what steps a business can take to identify conduct risks.
Many years ago, Donald Rumsfeld attracted widespread derision for his speech about ‘known unknown’ and ‘unknown unknowns’. It was clumsy, perhaps, but he was onto something. In the business world there are many things we don’t know. Some we’re aware of, but others would take us completely by surprise. The same is true in the regulatory environment. Continue reading “What proactive steps do you take to identify conduct risks in your business?”
In the first part of a series of seven blog posts, we look at the 5 basic conduct questions that arose out of Megan Butler’s speech at the AFT Investment Summit last year.
In September 2017, Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, gave a speech on “Where next for investment and asset management regulation?”
She was speaking at a time when the investment community is facing a host of challenging questions. Continue reading “5 Basic Conduct Questions Financial Services Firms Must Ask Themselves”
The blockchain has enormous potential for compliance officers, but rule makers are still struggling to work out how to regulate it.
Recently Gibraltar announced it was becoming the first country to formally regulate the blockchain as it issued licenses to fintech firms which plan to use the blockchain. As it did so it staked its claim to become one of the most favourable environments for blockchain start-ups in the world.
Continue reading “Regulating the Blockchain”
Enforcd, has beaten off stiff competition to become one of only 10 companies chosen to take part in the FinTech SuperCharger Hong Kong 2018.
From amongst 277 companies based in 43 countries, Enforcd emerged as one of the 10 FinTech companies most likely to make a significant impact on Hong Kong’s financial ecosystem. Continue reading “Enforcd is 1 of only 10 companies selected for the FinTech SuperCharger Hong Kong 2018”