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 during March 2019.
Highlights include:
- FCA and SEC have signed two updated Memoranda of Understanding (MOUs)
- Enforcement Actions
- Brexit update: Statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario
- Brexit update: Statements of Policy on the operation of the MiFID transparency regime
- Brexit update: ESMA sets out its approach to several MiFID II / MiFIR and BMR provisions under a no-deal Brexit
- Response to ESMA's statement on share trading obligations under MiFID II
Download: Regulatory Focus – April 2019.pdf (5.7) MB
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