Tue, Sep 25, 2018

Regulatory Focus - September 2018

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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 July and August 2018.

Highlights include:

  • Brexit Update - The government has issued a series of technical notices which set out information to allow Firms and individuals to understand what they need to do in the event of a no deal scenario
  • Consultation on rules and guidance to improve conduct and communications in payment services and e-money firms
  • Statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products
  • FCA collaborates on new consultation to explore the opportunities of a Global Financial Innovation Network
  • Annual Report for 2017/18

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