Regulatory Focus – November 2019 Compliance

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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.
 
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