ARTICLE
18 November 2019

Regulatory Focus – September 2019

Da
Duff and Phelps

Contributor

Duff and Phelps logo
Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.
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 FCA during August 2019.
UK Finance and Banking
To print this article, all you need is to be registered or login on Mondaq.com.

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 August 2019.

Highlights include:

  • Less than 100 days to go until Senior Managers and Certification Regime (SM&CR) is implemented
  • Brexit article on the possible tax implications for asset managers
  • ESMA publishes guidelines on liquidity stress testing for investment funds
  • EMIR REFIT as it applies to UK Alternative Fund Managers

Regulatory Focus – September 2019.pdf (3.1) MB

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.

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

See More Popular Content From

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More