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 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 …

By The Enforcd Team

What support does your firm provide to help staff improve conduct?

In this 4th post in our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we look at what support your firm provides to help staff improve conduct. Ensuring good conduct across a corporation is essential.  Once you’ve established a strategy for good corporate conduct, how do you make sure that everyone …

By The Enforcd Team

How can you encourage all staff to take responsibility for managing conduct?

In this third post in our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we look at how you can encourage all staff to take responsibility for managing conduct. Risk management is suddenly flying up the corporate agenda. As regulators increase their expectations, the financial services are responding. Even so, many …