Thu, Feb 18, 2021

Regulatory Focus – February 2021

In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news and publications from the Financial Conduct Authority during November and December 2020.

/en/insights/publications/financial-compliance-regulation/regulatory-focus-february-2021/fca-updates-december /-/media/assets/images/publications/featured-images/2021/fca-updates-during-december-page.png publication 2021-02-18T00:00:00.0000000 {4D5F3272-D961-43F9-A68A-1C9C7C28832E} {4744F142-089D-44FA-81EB-6F424D4EBFC4} {E175DCD7-26BF-455A-BFA9-4B1CEE3C3B05} {30AC7091-4FBB-401F-B7FB-C6BB4667B5FB} {35E78E23-0DD9-4B17-980C-3C9312D5212B} {565B4EBD-88DE-4353-81D0-B1061DDB6A03}

Stay Ahead with Kroll

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.

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

Comprehensive compliance and regulatory support for EU firms.

UK Compliance Services

Comprehensive compliance and regulatory support for FCA authorized firms.

FCA Authorization Application for Financial Services

Our authorization service offers a full project management process ensuring that resources can be focused on other areas of the business.

Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support

Kroll provides a comprehensive range of support to all firms and individuals subject to SM&CR, with solutions that are proportionate, practical and fully compliant with the regulations.