Regulatory Focus – December 2020
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news and publications from the UK and European regulatory authorities.
The Voice
Chancellor Outlines Plans for the Future of UK Financial Services
UK Defers CRR2 and IFPR Implementation to January 2022
FCA Updates – November 2020
Three Individuals Banned from Working in Financial Services for Non-Financial Misconduct
Response to Equivalence Announcement by Treasury
Green Horizon Summit: Rising to the Climate Challenge
Response to Chancellor's Statement on Future of UK Financial Services
Nikhil Rathi Discusses the FCA's Pandemic Response and His Vision for the Future
High Court Proceedings Begin Against Unauthorized Collective Investment Schemes
Facing the Future - Challenges and Priorities
Director of International Discusses End of Brexit Transition Period
FCA Updates – October 2020
Rules for the End of Brexit Transition Period
Support for Innovative Companies Tackling COVID-19 Challenges
FCA Working to Reduce Delays in the Assessment of Senior Managers’ Applications
FCA to Participate Cross-Border Testing Initiative
FCA Updates – September 2020
Regulators Urge Consumers to be Wary of Pension Scams
Amerdeep Somal Appointed as Complaints Commissioner
Former CEO Censured for Market Misconduct
Annual Report and Accounts 2019/2020 Published
FCA Looks to Improve the Consumer Investment Market
Decision Notice Against Individual for Market Manipulation
A Regulatory Perspective: The Drivers of Culture and the Role of Purpose and Governance
Financial Regulators Publish Updated Regulatory Initiatives Grid
A New Model for Financial Regulation in the UK
Consultation on the Regulation of International Firms Launched
Firms Begin Transition to RegData
Update Following Government COVID-19 Restriction Statements
FCA Begins Criminal Proceedings Against Individuals for Market Abuse
Update on Business Interruption Insurance Test Case Appeals Process
Companies House Reform to Reduce Fraud and Give Businesses Greater Confidence in Transactions
Articles
Compliance
Brexit, IFPR and the Future of UK Financial Services
by Jane Stoakes
Compliance
FCA Updates – November 2020
by Andrew Lowin
Compliance
FCA Updates – October 2020
by Darragh Finn
Compliance
FCA Updates – September 2020
by Peter Ray
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Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian Manson
Jane Stoakes
Director
Compliance and Regulatory Consulting
London
Jane Stoakes
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