In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA's latest news and publications issued in January 2017.

Highlights include:

  • The FCA's review of firms and their Appointed Representatives
  • An update on the SEC
  • The publication of MiFID II authorisation guidance - 'The Guide'
  • Annex IV Reporting

Read Regulatory Focus - Issue 103

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.