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

By Jurisdiction

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

By Jurisdiction

UK Regulation

Comprehensive compliance and regulatory support for FCA authorized firms.

UK Regulation

EU Regulation

Comprehensive compliance and regulatory support for EU firms.

EU Regulation

Insights