Regulatory Focus – September 2020
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news from the UK and European regulatory authorities and summarize recent enforcement actions.
Supervision
FCA Consults on Extending the Deadlines for the Certification Regime and Conduct Rules
Brexit Regulatory Update
FCA Confirms MoUs with ESMA and EU Securities Regulators
ESMA Tells Market to Continue Preparations for the End of the UK Transition Period
UK Enforcement Actions – July and August
FCA Publishes Decision Notice Against a Former CEO for Market Misconduct
High Court Orders Illegal Pension Introducers to Pay Restitution to Consumers
Other News
Articles
Compliance
FCA Consults on Extending the Deadlines for the Certification Regime and Conduct Rules
by Ian Manson
Compliance
Brexit Regulatory Update
by Ian Manson
Compliance
UK Enforcement Actions – July and August
by Ian Manson
Compliance
Recent FCA Speeches
by Ian Manson
Compliance
European Regulatory Updates
by Ian Manson
Compliance
UK Regulatory Updates
by Ian Manson
Compliance
SEC Statement on the Proposal to Reduce 13F Reporting
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
Jonathan Currie
Director
Compliance and Regulatory Consulting
London
Jonathan Currie
Darragh Finn
Director
Compliance and Regulatory Consulting
London
Darragh Finn
Alex Lander
Director
Compliance and Regulatory Consulting
London
Alex Lander
Andrew Lowin
Director
Compliance and Regulatory Consulting
London
Andrew Lowin
Warren Radloff
Director
Compliance and Regulatory Consulting
London
Warren Radloff
Peter Ray
Director
Compliance and Regulatory Consulting
London
Peter Ray
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