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 June 2019.
Highlights include:
- Duff & Phelps has launched a Senior Managers and Certification Regime (SM&CR) toolkit to help firms prepare for the upcoming implementation date on December 9, 2019
- EMSA updates Q&As on MiFID II and MiFIR investor protection and intermediaries
- FCA publishes its first annual report on the perimeter
- FCA and Dutch Authority of the Financial Markets (AFM) agree closer working relationship
- Supervisory and enforcement matters
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.
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.