Kroll Appoints Shai Waisman as Firm President Read More Chevron
Regulatory Focus – February 2021
/-/media/assets/images/publications/featured-images/2021/regulatory-focus-february-2021-feature.png

Regulatory Focus – November 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA during October and November 2021.

FCA Key Topics – October – November 2021

Read more about the key topics on the FCA’s agenda during the past month which includes:

  • FCA discussion paper on SDR and investment labels 
  • Six weeks to go – new prudential rules for MiFID firms
  • FCA’s finalized rules for a new authorized long-term asset fund

FCA Updates – October 2021

Areas covered:

  • Greening the Financial system – The Government’s roadmap
  • FCA to move faster to remove unused firm permissions
  • Modernizing the Listing Regime – Clare Cole Speech
  • FCA Speech on seizing opportunity, challenges and priorities 
  • Update on the orderly wind-down of LIBOR at the end of 2021 
  • LIBOR update for orderly wind-down at the end of 2021
  • A bank fined £147mn and undertakes to the FCA to forgive $200mn debt
  • Bank pleads guilty in criminal proceedings
  • Charles Randall to step down as FCA and PSR Chair in Spring 2022
  • Joint statement by the FCA, PRA, TPR and FRC on the publication of Climate Change Adaptation Reports
  • The CFRF published guides on managing climate-related financial risks

Articles

Contact Us

Other Areas We Can Help

UK Compliance Services

UK Compliance Services

Comprehensive compliance and regulatory support for FCA authorized firms.

UK Compliance Services

Insights

Compliance

Global Enforcement Review 2021: Anti-Money Laundering Regulation

Compliance
Compliance

Are Your Disclosures and Compliance Programs SEC Compliant?

Compliance
Compliance

Regulatory Internal Audit Case Studies

Compliance