Regulatory Focus - April 2020

April 30, 2020

Voice

Staying Compliant During the COVID-19 Pandemic 

Firms Need to Register for FCA’s New Data Collection Platform

Short Selling 

Supervisory

Statement on COVID-19 

FCA Encourages Firms to Develop Purposeful Cultures

FCA Begins Review on Data in Wholesale Markets

Other

Unstable Coins: Crypto Assets, Financial Regulation and Preventing Financial Crime in the Emerging Market for Digital Assets

FCA Issues Proposals to Enhance Climate-Related Disclosures by Listed Issuers and Provides Clarification of Existing Disclosure Obligations

Inside FCA Podcast: What Does Cyber Security and Resilience Mean for Firms?

Open-ended Funds Investing in Less Liquid Assets

ESMA Sets Out Approach to SFTR Implementation

ESMA Statement: Telephone Recording During COVID-19 Outbreak

ESMA Consultation Paper on Cross-Border Distribution of Funds

ESMA Provides Clarifications for Best Execution Reports Under MiFID II

ESMA Announces Update to Reporting under the Money Market Funds Regulation

ESMA Publishes Final Report Providing Technical Advice to the European Commission on Inducements and Costs and Charges Disclosures

Stay Ahead with Kroll

Financial Services Compliance and Regulation

In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.

Learn More

Retained Compliance Support and Managed Services

Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.

Learn More