
Regulatory Focus – April 2020
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 (FCA) during March 2020 including advice for firms on COVID-19.
Voice
Staying Compliant During the COVID-19 Pandemic
Firms Need to Register for FCA’s New Data Collection Platform
Supervisory
FCA Encourages Firms to Develop Purposeful Cultures
FCA Begins Review on Data in Wholesale Markets
Other
Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?
Open-ended Funds Investing in Less Liquid Assets
ESMA Sets Out Approach to SFTR Implementation
ESMA Statement: Telephone Recording During COVID-19 Outbreak
ESMA Consultation Paper on Cross-Border Distribution of Funds
ESMA Provides Clarifications for Best Execution Reports Under MiFID II
ESMA Announces Update to Reporting under the Money Market Funds Regulation
Articles
Staying Compliant During the COVID-19 Pandemic
by Ian Manson
Firms Need to Register for FCA’s New Data Collection Platform
by Ian Manson
Short Selling
by Ian Manson
Statement on COVID-19
by Ian Manson
FCA Encourages Firms to Develop Purposeful Cultures
by Ian Manson
FCA Begins Review on Data in Wholesale Markets
by Ian Manson
Unstable Coins: Crypto Assets, Financial Regulation and Preventing Financial Crime in the Emerging Market for Digital Assets
by Ian Manson
FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers
by Ian Manson
Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?
by Ian Manson
Open-Ended Funds Investing in Less Liquid Assets
by Ian Manson
ESMA Sets Out Approach to SFTR Implementation
by Ian Manson
ESMA Statement: Telephone Recording During COVID-19 Outbreak
by Ian Manson
ESMA Consultation Paper on Cross-Border Distribution of Funds
by Ian Manson
ESMA Provides Clarifications for Best Execution Reports Under MiFID II
by Ian Manson
ESMA Announces Update to Reporting Under the Money Market Funds Regulation
by Ian Manson
ESMA Publishes Final Report of Technical Advice to the European Commission on Inducements and Costs and Charges Disclosures
by Ian Manson
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