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ARTICLE · 18 NOVEMBER 2019

Regulatory Focus – September 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 FCA during August 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 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.

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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