Tue, Mar 31, 2020
Regulatory Focus – March 2020
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 February 2020.
Executive Summary
Mar 31, 2020
Guidance for Firms on COVID-19
Mar 31, 2020
FCA Consultation Paper 19/32 – Building Operational Resilience
Dec 05, 2019
ESMA Launches a Common Supervisory Action with NCAs on MiFID II Suitability Rules
Feb 05, 2020
Post Brexit – Provision of Services in the EU
Jan 31, 2020
ESMA Consults on Guidelines on the Assessment of Leverage Related Systemic Risks and Leverage Limits
Mar 27, 2020
Two Non-Executive Directors Appointed to the Financial Conduct Authority (FCA) Board
Feb 06, 2020
ESMA Publishes the Final Report on MiFIR Alignments Following the Introduction of EMIR Refit
Feb 07, 2020
Sustainable Financial Markets – Translating Changing Risks and Investor Preferences into Regulatory Action
Feb 12, 2020
Sheldon Mills Appointed as Interim Executive Director of Strategy and Competition
Feb 13, 2020
ESMA Finds Continued High Risks as Markets Remain Highly Volatile
Feb 19, 2020
FCA Publishes the Number of STORs Received in 2019
Feb 28, 2020
FCA Speech – Enforcement Penalties and Remediation
Feb 13, 2020
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Voice
Guidance For Firms on COVID-19
Supervisory
FCA Consultation Paper 19/32 - Building Operational Resilience
ESMA Launches a Common Supervisory Action with NCAs on MiFID II Suitability Rules
Other
Post Brexit - Provision of Services in the EU
ESMA Consults on Guidelines on the Assessment of Leverage Related Systemic Risks and Leverage Limits
Two Non-Executive Directors Appointed to the Financial Conduct Authority (FCA) Board
ESMA Publishes the Final Report on MiFIR Alignments Following the Introduction of EMIR Refit
Sheldon Mills Appointed as Interim Executive Director of Strategy and Competition
ESMA Finds Continued High Risks as Markets Remain Highly Volatile
FCA Publishes the Number of STORs Received in 2019
Enforcement
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