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

FCA Update on COVID-19 and Information Security

Working Group on RFRWG Issues Statement on the Impact of COVID-19 on the Timeline for Firms’ LIBOR Transition Plans