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
Regulatory Focus – July 2019.pdf (3.4) MB
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