Wed, Feb 8, 2017

Regulatory Focus-January 2017

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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

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