Wed, Feb 8, 2017
Regulatory Focus-January 2017
In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA's latest news and publications issued in January 2017.
Highlights include:
- The FCA's review of firms and their Appointed Representatives
- An update on the SEC
- The publication of MiFID II authorization guidance-'The Guide'
- Annex IV Reporting
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.
European Compliance Services
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.