Fri, Jul 26, 2019

Regulatory Focus - July 2019

Download the Report

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 (FCA) during June 2019.

Highlights include:

  • Duff & Phelps has launched a Senior Managers and Certification Regime (SM&CR) toolkit to help firms prepare for the upcoming implementation date on December 9, 2019
  • EMSA updates Q&As on MiFID II and MiFIR investor protection and intermediaries
  • FCA publishes its first annual report on the perimeter
  • FCA and Dutch Authority of the Financial Markets (AFM) agree closer working relationship
  • Supervisory and enforcement matters

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.

Retained Compliance Support and Managed Services

With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.