By Jane Walshe

Improving Wholesale Conduct MI

The Financial Conduct Authority (FCA) has been focused on effective conduct risk management information since 2004 when, as the Financial Service Authority (FSA) it launched the Treating Customers Fairly (TCF) initiative.  The principles applicable to the gathering of effective conduct MI in the retail sphere are equally relevant to wholesale firms. This article explores some …

By The Enforcd Team

The RegTech Revolution: Helping Conduct, Culture and Compliance

In this webinar 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.

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 are …

By Jane Walshe

FCA Enforcement Head says firms must continue to up their game

At a conference (Practising Law Institute Sixteenth Annual Institute of Securities Regulation in Europe) today Mark Steward, FCA Director of Enforcement and Financial Crime, made a number of comments on fines, conduct of financial services firms and the need for senior managers to take responsibility for their actions, and to exercise meaningful oversight of what …