Thu, Apr 30, 2020
Regulatory Focus – April 2020
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 March 2020 including advice for firms on COVID-19.
Executive Summary
Apr 30, 2020
Staying Compliant During the COVID-19 Pandemic
Apr 30, 2020
Firms Need to Register for FCA’s New Data Collection Platform
Apr 30, 2020
Short Selling
Apr 30, 2020
Statement on COVID-19
Mar 04, 2020
FCA Encourages Firms to Develop Purposeful Cultures
Mar 05, 2020
FCA Begins Review on Data in Wholesale Markets
Mar 13, 2020
Preventing Financial Crime for Digital Assets
Mar 05, 2020
FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers
Mar 06, 2020
Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?
Mar 13, 2020
Open-Ended Funds Investing in Less Liquid Assets
Mar 19, 2020
ESMA Sets Out Approach to SFTR Implementation
Mar 19, 2020
ESMA Statement: Telephone Recording During COVID-19 Outbreak
Mar 20, 2020
ESMA Consultation Paper on Cross-Border Distribution of Funds
Mar 31, 2020
ESMA Provides Clarifications for Best Execution Reports Under MiFID II
Mar 31, 2020
ESMA Announces Update to Reporting Under the Money Market Funds Regulation
Mar 31, 2020
ESMA Publishes Final Report of Technical Advice
Mar 31, 2020
- View all articles
Voice
Staying Compliant During the COVID-19 Pandemic
Firms Need to Register for FCA’s New Data Collection Platform
Supervisory
FCA Encourages Firms to Develop Purposeful Cultures
FCA Begins Review on Data in Wholesale Markets
Other
Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?
Open-ended Funds Investing in Less Liquid Assets
ESMA Sets Out Approach to SFTR Implementation
ESMA Statement: Telephone Recording During COVID-19 Outbreak
ESMA Consultation Paper on Cross-Border Distribution of Funds
ESMA Provides Clarifications for Best Execution Reports Under MiFID II
ESMA Announces Update to Reporting under the Money Market Funds Regulation
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