Thu, Oct 25, 2018
Regulatory Focus – October 2018
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 during September 2018.
Highlights include:
- Duff & Phelps launches its Global Enforcement Review 2018 report, providing commentary and insights on global enforcement trends within the financial services industry.
- The FCA’s approach to overseas market operators seeking to apply to become a recognized overseas investment exchange
- Andrew Bailey’s speech on multilateralism and global coordination: A case for balancing autonomy and co-operation in the interests of financial markets
- Andrew Bailey and Charles Randell’s speeches from the Annual Public Meeting 2018
- Recent enforcement matters
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
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UK Compliance Services
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.