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

“The RegTech Revolution” was a webinar held 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 The Enforcd Team

Conduct Risk: What It Is and Why It Matters

‘The  lessons of the last few years illustrate clearly that firms need to take proactive steps to improve conduct. Without a firm foundation in identifying the conduct risks inherent in your businesses, it will be hard to manage conduct, let alone show us and others that it is being managed. We know that most firms now understand the value in …

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 …

By Jane Walshe

FCA says Senior Managers need to take Responsibility for their Actions

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 senior managers need to take responsibility for their actions as well as exercise meaningful oversight of what goes …