Regulatory Focus – August 2018

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 July 2018.

Highlights include:

  • Customer Feedback Survey: Duff & Phelps Compliance Consulting team have launched a short client satisfaction survey. Your feedback will help us improve the service we provide to you as a valued client and partner of Duff & Phelps, and contribute to our product development. To complete the survey, click here.
  • Director of Enforcement and Market Oversight at the FCA , Mark Steward’s speech on MiFID II and the fight against financial crime at the Duff & Phelps Global Enforcement Review 2018 launch event in London
  • The Financial Conduct Authority Publishes Approach to Consumers’ Paper Alongside Discussion Paper on ‘Duty of Care’
  • ESMA Reminds UK-Based Regulated Entities About Timely Submission of Authorization Applications
  • Board Member and Executive Director of Strategy and Competition, Christopher Woolard’s Statement Welcoming the Institutional Disclosure Working Group (IDWG) Recommendations
  • Recent Enforcement Actions
 
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