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 September 2019.

Highlights include:

  • Less than two months until the implementation of the Senior Managers and Certification Regime (SM&CR) - The SM&CR implementation date of December 9, 2019 is creeping up fast and we would like to remind firms of the key actions they need to take before that date arrives.
  • Duff & Phelps Named "Best Compliance Consultancy" at the HFM European Quant Awards 2019
  • The Financial Conduct Authority finalizes rules on illiquid assets and open-ended funds
  • Market Abuse Memo
  • The FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit
  • Investors face increasing risks amid renewed market volatility
  • ESMA Publishes Responses to its Consultation on Cost of Market Data and Consolidated Tape
  • Enforcement Matters

Regulatory Focus - October 2019.pdf (4.9) 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.