Regulatory Focus – February 2021
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Regulatory Focus – June 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up news and publications from the FCA during April and May 2021.

The Voice

When do Senior Managers have to be Certified and Reported as Directory Persons?

FCA Changes Process for Firms Wishing to Change their Legal Status

Fake Emails Purporting to Come from the FCA 
 

FCA Updates – April 2021

Second Consultation on New Prudential Regime for UK Investment Firms
 
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
 
Compliance, Culture and Evolving Regulatory Expectations
 
Changes to UK MiFID’s Conduct and Organizational Requirements 

The FCA and Practitioner Panel Joint Survey for 2021 Launches  

FCA Updates – May 2021

Regulation for a Different World
 
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
 
Financial Services Regulatory Initiatives Grid
 
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-Term Illiquid Assets, and Works on Liquidity Mismatch in Open-Ended Property Funds
 
FCA and Bank of England Statement on LIBOR Transition
 
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
 
All Reporting Firms Moved to FCA’s New Data Collection Platform RegData

 
FCA Publishes A Consultation Paper on the Use of its New Powers Under the Benchmarks Regulation to Facilitate LIBOR’s Wind Down
 
Man Charged for Carrying Out Regulated Activities Without Authorization
 
Firms Should Ensure that Permissions are Reviewed Regularly

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