By The Enforcd Team

Update on CFD Leverage Regulatory Changes

In December 2016, the Financial Conduct Authority (FCA) announced their proposals to tighten the rules around selling contracts for difference (CFDs). These complex and highly leveraged financial instruments have become extremely easy for retail investors to access in recent years. This has raised concerns that consumers are not being properly informed and are therefore not …

By The Enforcd Team

The Perils of Discretionary Fund Managers

Discretionary Fund Managers occupy a sort of no man’s land between independent Financial Advisors shoving their customer’s SIPPs into UCIS, and providers of those UCIS. A trawl of the FCA Register has identified three firms which illustrate the particular perils of DFM.

By The Enforcd Team

Why Firms Need to Take Care When Advising on Pension Transfers

SIPPA cryptic Requirement on the Permission section of the FCA register record for Intelligent Pensions Ltd regarding pension transfers states: “immediately cease to provide advice in relation to the transfer, or conversion, of safeguarded benefits under a pension scheme to flexible benefits”.

By The Enforcd Team

The RegTech Revolution: Helping Conduct, Culture and Compliance

“The RegTech Revolution” was a webinar held for Digital Leaders Week 2017. Jane Walshe of Enforcd was joined by Mathias Wegmueller, Co-founder and Head of Business Development, Qumram, and Wendy Jephson, Co-Founder & Chief Behavioral Scientist at Sybenetix to discuss what RegTech can do, and also possible pitfalls to be avoided in its use.