Regulatory Focus – April 2020
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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

Short Selling 

Supervisory

Statement on COVID-19 

FCA Encourages Firms to Develop Purposeful Cultures

FCA Begins Review on Data in Wholesale Markets

Other

Unstable Coins: Crypto Assets, Financial Regulation and Preventing Financial Crime in the Emerging Market for Digital Assets

FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers and Provides Clarification of Existing Disclosure Obligations

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

ESMA Publishes Final Report Providing Technical Advice to the European Commission on Inducements and Costs and Charges Disclosures

Articles

Article

Short Selling

by Ian Manson

Short Selling

Short Selling

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