Fri, Aug 14, 2020
Regulatory Focus – July 2020
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news from the UK and European regulatory authorities, summarize recent enforcement actions, and highlight a proposed change to the U.S. Securities and Exchange Commission (SEC) rules on Form 13f, which could lead to a significant increase in the reporting threshold for institutional investment managers.
Regulatory Focus – July 2020
August 14, 2020
FG20/1: Assessing Adequate Financial Resources<br />
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June 11, 2020
Delayed Application of the Open Access Regime for the Trading and Clearing of Exchange-traded Derivatives
June 11, 2020
EBA Guidelines of ICT and Security Risk Management
June 25, 2020
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
June 4, 2020
ESMA Updates
July 2, 2020
FCA's Executive Director of Supervision – Investment, Wholesale and Specialists Delivered Speech at PIMFA’s Virtual Festival<br />
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June 3, 2020
FCA’s New Data Collection Platform – Regdata
June 22, 2020
FCA Sets Out Next Steps to Improve DB Pension Transfer Market
June 5, 2020
FCA Planned Amendments to the Benchmarks Regulation<br />
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June 23, 2020
Inside FCA Podcast: Chris Woolard Interview
June 10, 2020
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers<br />
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July 13, 2020
UK Enforcement Actions
June 26, 2020
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