Regulatory Focus – May 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.
The FCA has launched a daily email round-up of COVID-19 news and publications published on its website. Join the list to receive the daily update.
Voice
Compliance Challenges in a Remote Working World
Scam E-mails Purporting to Come From the FCA and the CIMA
COVID-19 Financial Resilience Survey
Supervisory
ESMA Publishes Guidance on Performance Fees in UCITS and Certain AIFs
ESMA Sets Out Supervisory Expectations on Publication of Investment Funds Reports
SM&CR and COVID-19: The FCA’s Expectation of Solo-Regulated Firms
Other
FCA Publishes 2020/21 Business Plan
FCA Expectations for Signatures Amid COVID-19 Restrictions
ESAs Consult on Environmental, Social and Governance Disclosure Rules
Articles
Article
Compliance Challenges in a Remote Working World
by Ian Manson
Article
ESMA Publishes Guidance on Performance Fees in UCITS and Certain AIFs
by Ian Manson
Article
ESMA Sets Out Supervisory Expectations on Publication of Investment Funds Reports
by Ian Manson
Article
SM&CR and COVID-19: The FCA’s Expectation of Solo-Regulated Firms
by Ian Manson
Article
FCA Publishes 2020/21 Business Plan
by Ian Manson
Article
FCA Expectations for Signatures Amid COVID-19 Restrictions
by Ian Manson
Article
ESAs Consult on Environmental, Social and Governance Disclosure Rules
by Ian Manson
Article
The Working Group on RFRWG Issues Statement on the Impact of COVID-19 on the Timeline for Firms’ LIBOR Transition Plans
by Ian Manson
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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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