Fri, Aug 20, 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.
Executive Summary
Aug 20, 2021
FCA Key Topics – June-August 2021
Aug 20, 2021
FCA Updates – July 2021
Aug 20, 2021
FCA Updates – June 2021
Aug 20, 2021
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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
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
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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