By The Enforcd Team

FCA Business Plan 2017: Reviews, Thematic Reviews and All The Rest of It

It’s not an original observation, but the FCA is at heart a publishing house. Work on annual set-pieces like the FCA business plan (currently in its 2017/2018 run) begins months before publication, with Associates across all parts of the FCA writing summaries of their work, and sending it up the line for review. The strategists …

By The Enforcd Team

Conduct Risk: What It Is and Why It Matters

‘The  lessons of the last few years illustrate clearly that firms need to take proactive steps to improve conduct. Without a firm foundation in identifying the conduct risks inherent in your businesses, it will be hard to manage conduct, let alone show us and others that it is being managed. We know that most firms now understand the value in …

By Jane Walshe

What the Regulator wants and expects in 2017

On 9th February I joined Philip Allen of the BBA to deliver a webinar (click here to access the recording) entitled ‘‘Enforcement Update: What the Regulator wants and expects in 2017”.   Some interesting polling occurred which can be read about in a separate blog.

By Jane Walshe

Senior Managers Regime Poll 2017

On 9th February 2017, I joined Philip Allen of the BBA to deliver a webinar entitled ‘‘Enforcement Update: What the Regulator wants and expects in 2017”.  This piece focuses on the polling that occurred during the hour, which provides an interesting snapshot into current industry sentiment around conduct risk and individual accountability – themes which …