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ARTICLE · 15 MAY 2019

Regulatory Focus – April 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 March 2019.

United KingdomGovernment, Public Sector
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 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

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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