Sat, May 30, 2020
Regulatory Focus – June 2020
The experts in Duff & Phelps’ UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the recent news and publications issued by the Financial Conduct Authority (FCA) including advice for firms on COVID-19.
Executive Summary
May 30, 2020
The Growing Importance of ESG
Jun 30, 2020
FCA’s Response to COVID-19 and Brexit
May 06, 2020
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
Jun 04, 2020
Firms' Handling of Complaints During COVID-19
May 01, 2020
EMIR Margin Requirements Amended in Response to the COVID-19 Outbreak
May 04, 2020
Update of Position Limits for Certain Commodity Derivative Contracts
May 05, 2020
Period to Cover Absent Senior Managers Extended Due to COVID-19
May 06, 2020
ESMA Extends Registrations of Four Trade Repositories to Include SFTR
May 06, 2020
Regulatory Initiatives Grid
May 07, 2020
Statement on How Firms Should Handle Post and Paper Documents
May 13, 2020
ESMA Supports ESRB Actions to Address COVID-Related Systemic Vulnerabilities
May 14, 2020
ESMA sees Potential Decoupling of Financial Market Performance and Underlying Economic Activity
May 14, 2020
- View all articles
Voice
Regulatory Updates
Extension of SM&CR Implementation Periods for Solo-Regulated Firms
New Prudential Regime for UK Investment Firms
Update on Short Selling Restrictions
Are You Affected by the Securities Financing Transaction Regulation?
Brexit
FCA’s Response to COVID-19 and Brexit
Supervision
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
Other
Firms' Handling of Complaints During COVID-19
EMIR Margin Requirements Amended in Response to the COVID-19 Outbreak
Update of Position Limits for Certain Commodity Derivative Contracts
Period to Cover Absent Senior Managers Extended Due to COVID-19
ESMA Extends Registrations of Four Trade Repositories to Include SFTR
Statement on How Firms Should Handle Post and Paper Documents
ESMA Supports ESRB Actions to Address COVID-Related Systemic Vulnerabilities
ESMA sees Potential Decoupling of Financial Market Performance and Underlying Economic Activity
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