Regulatory Focus – November 2019

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 October 2019.

Highlights include:

  • Less than one month to go until Senior Managers and Certification Regime (SM&CR) is implemented 
  • Brexit article on the delay of the United Kingdom’s departure from the European Union
  • ESMA published final report on CSDR Guidelines on standardized procedures and messaging protocols
  • ESMA consults on MiFIR alignment following the introduction of EMiR Refit
  • Recent enforcement actions
  • Updates on MiFID II Q&As on transparency and market structure issues
  • Gabriel users share suggestions for the FCA’s new data collection platform
  • The future of financial services regulation in the United Kingdom.
 
Regulatory Focus – November 2019 2019-12-03T00:00:00.0000000 /insights/publications/compliance-and-regulatory-consulting/regulatory-focus-november-2019 /-/media/assets/images/publications/featured-images/2019/compliance-and-regulatory-consulting/regulatory-focus-november-2019.ashx publication {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {DE05ECA4-1852-4BEF-A4E1-491CB497F9CB} {4FD55120-2DD8-4DB5-8DAA-3D9212C2436D} {1C3CB363-1B9A-40E2-AF19-5C433260F861} {95D7F66C-11BB-4E7D-B07C-48874A321F98}

Related Services

Duff & Phelps Compliance and Regulatory Consulting

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Duff & Phelps Compliance and Regulatory Consulting

UK Regulation

Comprehensive compliance and regulatory support for FCA authorized firms.

UK Regulation
Duff & Phelps Compliance and Regulatory Consulting

EU Regulation

Comprehensive compliance and regulatory support for EU firms.

EU Regulation

Insights