Mon, Jul 16, 2018

Regulatory Focus - July 2018

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In this edition of Regulatory Focus, the experts in Duff & Phelps’ UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by the Financial Conduct Authority during May and June 2018.

Highlights include:

  • The extension of the Senior Managers Certification Regime (SM&CR) will apply from December 9, 2019 to all FCA regulated firms
  • A statement for all regulated firms and relevant stakeholders outlining how the FCA is preparing for the UK leaving the European Union
  • Highlights from the recent Asset Management Conference, where the overall theme was the continuing importance placed by regulations on conduct and culture. The Chief Executive of the FCA, Andrew Bailey gave the keynote address
  • How the financial services industry has developed since the financial crisis of 2008
  • The approach to competition and innovation
  • Recent Enforcement Actions

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