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

A Great or Terrible Year to be a Banking IT Manager?

Depending on your point of view, this is either a great, or a terrible year to be a banking IT manager. Three major regulatory burdens are in train: the second payment services directive (PSD2), the general data protection regulation (GDPR), and the second markets in financial instruments directive (MIFID2). It renders the European operations of …

By The Enforcd Team

Update on CFD Leverage Regulatory Changes

In December 2016, the Financial Conduct Authority (FCA) announced their proposals to tighten the rules around selling contracts for difference (CFDs). These complex and highly leveraged financial instruments have become extremely easy for retail investors to access in recent years. This has raised concerns that consumers are not being properly informed and are therefore not …

By Jane Walshe

What the Regulator wants and expects in 2017

On 9th February I joined Philip Allen of the BBA to deliver a webinar (click here to access the recording) entitled ‘‘Enforcement Update: What the Regulator wants and expects in 2017”.   Some interesting polling occurred which can be read about in a separate blog.