Sat, May 30, 2020
Regulatory Focus – May 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
Compliance Challenges in a Remote Working World
May 30, 2020
ESMA Publishes Guidance on Performance Fees in UCITS and Certain AIFs
Apr 03, 2020
ESMA Sets Out Supervisory Expectations on Publication of Investment Funds Reports
Apr 09, 2020
SM&CR and COVID-19: The FCA’s Expectation of Solo-Regulated Firms
May 06, 2020
FCA Publishes 2020/21 Business Plan
Apr 07, 2020
FCA Expectations for Signatures Amid COVID-19 Restrictions
Apr 20, 2020
ESAs Consult on Environmental, Social and Governance Disclosure Rules
Apr 23, 2020
The Working Group on RFRWG Issues Statement on the Impact of COVID-19 on the Timeline for Firms’ LIBOR Transition Plans
May 13, 2020
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Voice
Compliance Challenges in a Remote Working World
Scam E-mails Purporting to Come From the FCA and the CIMA
COVID-19 Financial Resilience Survey
Supervisory
ESMA Publishes Guidance on Performance Fees in UCITS and Certain AIFs
ESMA Sets Out Supervisory Expectations on Publication of Investment Funds Reports
SM&CR and COVID-19: The FCA’s Expectation of Solo-Regulated Firms
Other
FCA Publishes 2020/21 Business Plan
FCA Expectations for Signatures Amid COVID-19 Restrictions
ESAs Consult on Environmental, Social and Governance Disclosure Rules
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