Compliance and Regulatory Consulting
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Compliance and Regulatory ConsultingRegulatory Focus – June 2019
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Ian Manson IanManson
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Marie Barber Marie Barber
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Jane Stoakes JaneStoakes
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 May 2019.
Highlights include:
- Duff & Phelps' is proud to announce the seventh annual Global Regulatory Outlook. This report provides a unique perspective on how the financial services industry views the impact of financial regulation. This year's report includes a summary of our global survey results, as well as contributed articles from Duff & Phelps' compliance, regulatory and risk experts. In addition to outlining regulatory trends, the publication explores themes including anti-money laundering, whistleblowing and technology.
- FCA’s updates on Brexit planning
- The European Securities and Markets Authority (ESMA) submits technical advice on Sustainable Finance to the European Commission
- Supervisory and enforcement matters
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Insights
Publication
New Luxembourg Register of Beneficial Owners (RBE) Requirements
by Anil Singh
Publication
Finance Bill 2019/2020 – Draft Clauses
by Marie Barber
Publication
All Change in the Car Industry
by Claire Simm
Publication
U.S. Stay Regulations Affecting Prime Brokers
by Ian Manson
