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ARTICLE · 02 AUGUST 2019

Regulatory Focus – July 2019

Duff and Phelps
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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 June 2019.

United KingdomFinance and Banking
Ian Manson
Ian Manson
Marie Barber
Marie Barber
Jane Stoakes
Jane Stoakes
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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

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.

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.

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