Regulatory Focus – September 2019 Compliance

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Regulatory Focus – September 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 August 2019.

Highlights include:

  • Less than 100 days to go until Senior Managers and Certification Regime (SM&CR) is implemented 
  • Brexit article on the possible tax implications for asset managers
  • ESMA publishes guidelines on liquidity stress testing for investment funds
  • EMIR REFIT as it applies to UK Alternative Fund Managers
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