Mon, Jun 24, 2019
Regulatory Focus – June 2019
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 May 2019.
Highlights include:
- Duff & Phelps' is proud to announce the seventh annual Global Regulatory Outlook. This report provides a unique perspective on how the financial services industry views the impact of financial regulation. This year's report includes a summary of our global survey results, as well as contributed articles from Duff & Phelps' compliance, regulatory and risk experts. In addition to outlining regulatory trends, the publication explores themes including anti-money laundering, whistleblowing and technology.
- FCA’s updates on Brexit planning
- The European Securities and Markets Authority (ESMA) submits technical advice on Sustainable Finance to the European Commission
- Supervisory and enforcement matters
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.
Compliance Consulting
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
European Compliance Services
European Compliance Services
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UK Compliance Services
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.