
Regulatory Focus – June 2020
The experts in Duff & Phelps’ UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the recent news and publications issued by the Financial Conduct Authority (FCA) including advice for firms on COVID-19.
Voice
Regulatory Updates
Extension of SM&CR Implementation Periods for Solo-Regulated Firms
New Prudential Regime for UK Investment Firms
Update on Short Selling Restrictions
Are You Affected by the Securities Financing Transaction Regulation?
Brexit
FCA’s Response to COVID-19 and Brexit
Supervision
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
Other
Firms' Handling of Complaints During COVID-19
EMIR Margin Requirements Amended in Response to the COVID-19 Outbreak
Update of Position Limits for Certain Commodity Derivative Contracts
Period to Cover Absent Senior Managers Extended Due to COVID-19
ESMA Extends Registrations of Four Trade Repositories to Include SFTR
Statement on How Firms Should Handle Post and Paper Documents
ESMA Supports ESRB Actions to Address COVID-Related Systemic Vulnerabilities
ESMA sees Potential Decoupling of Financial Market Performance and Underlying Economic Activity
Articles
The Growing Importance of ESG
by Ian Manson
FCA’s Response to COVID-19 and Brexit
by Ian Manson
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
by Ian Manson
Firms' Handling of Complaints During COVID-19
by Ian Manson
EMIR Margin Requirements Amended in Response to the COVID-19 Outbreak
by Ian Manson
Update of Position Limits for Certain Commodity Derivative Contracts
by Ian Manson
Period to Cover Absent Senior Managers Extended Due to COVID-19
by Ian Manson
ESMA Extends Registrations of Four Trade Repositories to Include SFTR
by Ian Manson
Regulatory Initiatives Grid
by Ian Manson
Statement on How Firms Should Handle Post and Paper Documents
by Ian Manson
ESMA Supports ESRB Actions to Address COVID-Related Systemic Vulnerabilities
by Ian Manson
ESMA sees Potential Decoupling of Financial Market Performance and Underlying Economic Activity
by Ian Manson
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