Thu, May 23, 2019
Regulatory Focus – May 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 April 2019.
Highlights include:
- The FCA’s priorities for 2019/20
- The European Securities and Market Authority (ESMA) publishes MIFID II supervisory briefing
- Enforcement actions
- Brexit Update: EU Financial Regulators highlight risks of a no-deal Brexit and Asset price volatility and FCA and Australian Securities and Investments Commission agree to strengthen cooperation post-Brexit
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
Comprehensive compliance and regulatory support for EU firms.
UK Compliance Services
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.