The Key Conduct Challenges Confronting Financial Services Firms

By The Enforcd TeamThe Enforcd Team
Enforcd RegTech Blog - Regulatory Thinking and News

Concluding our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we examine the key conduct challenges confronting corporations.

As we were writing this, the fallout of the Carillion collapse was unfolding live on the news websites. With each day – even hour – it seems we’re treated to fresh and even more disturbing revelations. The response from the public seems to be a roll of the eyes at another corporation found to be failing in its duty. Continue reading “The Key Conduct Challenges Confronting Financial Services Firms”


How does your Board get an Oversight of Conduct in your Organisation?

By The Enforcd TeamThe Enforcd Team
oversight of conduct

In this 5th post in our series of blogs on the FCA’s increasing focus on corporate conduct, we look at how boards can get an oversight of conduct.

It’s a problem we often see in business. A corporation establishes a clear set of corporate guidelines but fails to follow them throughout the company. The problem – for all their good intentions the board fails to monitor compliance at the coal-face. Continue reading “How does your Board get an Oversight of Conduct in your Organisation?”