Regulatory Focus – January 2020

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 (FCA) during November and December 2019.

Highlights include:

  • Amendments to the Money Laundering Regulations
  • FCA extends the Senior Managers and Certification Regime to 47,000 firms
  • HMRC letters in respect of money received from offshore investment funds
  • MiFID II: The European Securities and Market Authority consults on position limits in commodity derivatives
  • ESMA updates its Q&A’s on the securitisation regulation
  • ESMA issues 2019 report on Accepted Market Practices under MAR
  • ESAs transform the way competent authorities cooperate with each other on AML/ CFT matters
  • Recent Enforcement Actions
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