Thu, Aug 16, 2018
Regulatory Focus – August 2018
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 during July 2018.
Highlights include:
- Customer Feedback Survey: Duff & Phelps Compliance Consulting team have launched a short client satisfaction survey. Your feedback will help us improve the service we provide to you as a valued client and partner of Duff & Phelps, and contribute to our product development. To complete the survey, click here.
- Director of Enforcement and Market Oversight at the FCA , Mark Steward’s speech on MiFID II and the fight against financial crime at the Duff & Phelps Global Enforcement Review 2018 launch event in London
- The Financial Conduct Authority Publishes Approach to Consumers’ Paper Alongside Discussion Paper on ‘Duty of Care’
- ESMA Reminds UK-Based Regulated Entities About Timely Submission of Authorization Applications
- Board Member and Executive Director of Strategy and Competition, Christopher Woolard’s Statement Welcoming the Institutional Disclosure Working Group (IDWG) Recommendations
- Recent Enforcement Actions
Financial Services Compliance and Regulation
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
UK Compliance Services
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.
Compliance Consulting
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
European Compliance Services
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.