By The Enforcd Team

The Key Conduct Challenges Confronting Financial Services Firms

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 …

By The Enforcd Team

What business activities might undermine good conduct in your firm?

In this 6th post in our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we look at what factors might undermine good conduct in your firm. Well placed intentions are laudable, but what happens if your day to day operations work against it?

By Jane Walshe

SMCR for the Buy-Side: Reasonable Steps and Enforcement Activity

  By Jane Walshe, CEO of Enforcd Want to see how Enforcd can help Senior Managers?  Watch   our short demo video. Last summer, the Financial Conduct Authority (FCA) published its long-awaited consultation on the extension of the Senior Managers & Certification Regime (SM&CR) to all FCA-regulated firms. The Consultation closed on 3 November 2017 and …

By The Enforcd Team

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

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 …