In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA’s latest news and publications including:
-
A new regulatory capital regime for investment firms
-
Recent enforcement actions
-
Proposals on transactions cost disclosure
-
New derivatives report for EEA UCITS managers
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Kroll is headquartered in New York with offices around the world.
55 East 52nd Street 17 Fl
New York NY 10055
Sign up to receive periodic news, reports, and invitations from Kroll.
Our privacy policy describes how your data will be processed.
© 2024 Kroll, LLC. All rights reserved.
Kroll is not affiliated with Kroll Bond Rating Agency,
Kroll OnTrack Inc. or their affiliated businesses. Read more.