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 October 2019.
Highlights include:
- Less than one month to go until Senior Managers and Certification Regime (SM&CR) is implemented
- Brexit article on the delay of the United Kingdom’s departure from the European Union
- ESMA published final report on CSDR Guidelines on standardized procedures and messaging protocols
- ESMA consults on MiFIR alignment following the introduction of EMiR Refit
- Recent enforcement actions
- Updates on MiFID II Q&As on transparency and market structure issues
- Gabriel users share suggestions for the FCA’s new data collection platform
- The future of financial services regulation in the United Kingdom.
