Financial Compliance and Regulation Insights

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.
Regulatory Focus - April 2020
April 30, 2020
Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?
March 13, 2020
ESMA Provides Clarifications for Best Execution Reports Under MiFID II
March 31, 2020
ESMA Consultation Paper on Cross-Border Distribution of Funds
March 31, 2020
ESMA Publishes Final Report of Technical Advice to the European Commission on Inducements and Costs and Charges Disclosures
March 31, 2020
ESMA Sets Out Approach to SFTR Implementation
March 19, 2020
ESMA Statement: Telephone Recording During COVID-19 Outbreak
March 20, 2020
ESMA Announces Update to Reporting Under the Money Market Funds Regulation
March 31, 2020
FCA Begins Review on Data in Wholesale Markets
March 13, 2020
FCA Encourages Firms to Develop Purposeful Cultures
March 5, 2020
FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers
March 6, 2020
Firms Need to Register for FCA’s New Data Collection Platform
April 30, 2020
Open-Ended Funds Investing in Less Liquid Assets
March 19, 2020
Unstable Coins: Crypto Assets, Financial Regulation and Preventing Financial Crime in the Emerging Market for Digital Assets
March 5, 2020
Short Selling
April 30, 2020
Statement on COVID-19
March 4, 2020
Staying Compliant During the COVID-19 Pandemic
April 30, 2020

Voice

Staying Compliant During the COVID-19 Pandemic 

Firms Need to Register for FCA’s New Data Collection Platform

Short Selling 

Supervisory

Statement on COVID-19 

FCA Encourages Firms to Develop Purposeful Cultures

FCA Begins Review on Data in Wholesale Markets

Other

Unstable Coins: Crypto Assets, Financial Regulation and Preventing Financial Crime in the Emerging Market for Digital Assets

FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers and Provides Clarification of Existing Disclosure Obligations

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

ESMA Publishes Final Report Providing Technical Advice to the European Commission on Inducements and Costs and Charges Disclosures

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