Tue, May 25, 2021
Regulatory Focus – May 2021
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up news and publications from the FCA during March and April 2021.
Market Participants Encouraged to Switch to SONIA
FCA Updates – March 2021
FCA Restricts from Undertaking Regulated Activities
A Forward Look at Regulation of the UK’s Wholesale Financial Markets
FCA Starts Criminal Proceedings Against a Retail and Commercial Bank
Why Are Diversity and Inclusion Regulatory Issues?
Update on Trial Dates in Criminal Cases
FCA Releases a Statement on Its Approach to the UK’s Derivatives Trading Obligation
Liquidity Management in UK Open-Ended Funds
FCA Publishes a Decision Notice for Non-Financial Misconduct
FCA Updates – April 2021
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, Delivered at the AML & ABC Forum 2021
Securities and Exchange Commission (SEC) Environmental, Social and Governance (ESG) Risk Alert
Regulating the UK as a Global Financial Centre
A Peer Review of the UK Remuneration Regime Published by the Financial Stability Board (FSB)
FCA Bans and Fines Individual for Lack of Honesty and Integrity
Nausicaa Delfas’ Appointment as Interim Chief Executive and Chief Ombudsman of Financial Ombudsman Service
FCA: Sustainability and Technology Hires
Financial Services Compliance and Regulation
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