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Regulatory Focus – February 2021

Regulatory Focus – August 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA during June and July 2021.

FCA Key Topics – June-August 2021

Read more about the key topics on the FCA’s agenda during the past two months which includes: 

  • The FCA’s domestic implementation of the EU’s Investment Firm Prudential Regime
  • Various Environmental, Social and Governance matters

FCA Updates – July 2021

Areas covered:

  • LIBOR—six months to go
  • Fund managers falling short on assessing the value of their funds
  • Guilty of forgery
  • FCA bans convicted fraudster from carrying out regulated activity
  • FCA Business Plan 2021/22

FCA Updates – June 2021

Areas covered:

  • Temporary Registration Regime extended for cryptoasset businesses
  • The FCA has selected a new Chair of its independent Markets Practitioner Panel
  • Switch to Secured Overnight Financing Rate (SOFR) in USD interest rate swap starting 26 July 2021
  • FCA research reveals increase in cryptoasset ownership
  • Building a regulatory environment for the future
  • FCA and PRA publish joint policy statement on margin requirements for non-centrally cleared derivatives
  • FCA appeal for victims of illegal investment scheme to come forward
  • FCA review finds weaknesses in some “host” Authorized Fund Management firms’ governance and operations


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