5 Basic Conduct Questions Financial Services Firms Must Ask Themselves

By The Enforcd TeamThe Enforcd Team
Conduct questions

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”


Regulating the Blockchain

By The Enforcd TeamThe Enforcd Team
Blockchain

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”


Problem KIDs: PRIIPs Run into Early Trouble

By The Enforcd TeamThe Enforcd Team
PRIIPs

As Hargreaves Lansdown and other platforms suspend hundreds of investment trusts, are the PRIIPs regulations doomed already?

The new PRIIPs (Packaged retail investment and insurance-based products) Guidelines claimed their first casualties when UK investment advisors moved to suspend some funds for failing to comply with new EU rules. As other funds struggle to fulfil their obligations the early life of PRIIPs is proving to be anything but plain sailing. Continue reading “Problem KIDs: PRIIPs Run into Early Trouble”


Enforcd is 1 of only 10 companies selected for the FinTech SuperCharger Hong Kong 2018

By The Enforcd TeamThe Enforcd Team
FinTech SuperCharger 2018

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”


How Financial Services Firms Can Learn from the Lessons of the Past

By The Enforcd TeamThe Enforcd Team
Lessons of the Past

Learning from the lessons of the past can help the financial services industry ride the rough regulatory waves of 2018.

Fear of failure. It’s something we all feel at one time or another, and it can hold us back from truly achieving our goals.

However, if we learn lessons from the past, failure can be one of the best teaching tools around. Continue reading “How Financial Services Firms Can Learn from the Lessons of the Past”