Regulatory Focus – April 2019

In this edition of Regulatory Focus, the experts in Duff & Phelps’ UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by the Financial Conduct Authority during March 2019.

Highlights include:

  • FCA and SEC have signed two updated Memoranda of Understanding (MOUs)
  • Enforcement Actions
  • Brexit update: Statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario
  • Brexit update: Statements of Policy on the operation of the MiFID transparency regime
  • Brexit update: ESMA sets out its approach to several MiFID II / MiFIR and BMR provisions under a no-deal Brexit
  • Response to ESMA’s statement on share trading obligations under MiFID II
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