By The Enforcd Team

Problem KIDs: PRIIPs Run into Early Trouble

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 …

By The Enforcd Team

How Financial Services Firms Can Learn from the 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 …

By The Enforcd Team

Competent Employees: How to Train Effectively

What can companies do to demonstrate – to themselves, regulators and customers – that they only recruit people who have the appropriate skillset and expertise for the roles they are performing?  We look at the implications of poorly designed and implemented training. Every regulated company is obliged by law to ensure that its workers comply …

By The Enforcd Team

Financial Services Regulation: What to Expect in 2018

It’s a busy, demanding and unpredictable year ahead in the world of financial services regulation. Happy New Year! Now, buckle up because 2018 is likely to be a regulatory minefield.  New technologies, new rules and a fresh landscape all have the potential to create enormous problems. Some companies are better set up than others.