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

Stay Ahead with Kroll

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.

Return to top