UK:
Regulatory Focus – July 2018
19 July 2018
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 May and June 2018.
Highlights include:
- The extension of the Senior Managers
Certification Regime (SM&CR) will apply from December 9, 2019
to all FCA regulated firms
- A statement for all regulated firms
and relevant stakeholders outlining how the FCA is preparing for
the UK leaving the European Union
- Highlights from the recent Asset
Management Conference, where the overall theme was the continuing
importance placed by regulations on conduct and culture. The Chief
Executive of the FCA, Andrew Bailey gave the keynote address
- How the financial services industry
has developed since the financial crisis of 2008
- The approach to competition and
innovation
- Recent Enforcement Actions
Regulatory Focus - July 2018 from Duff & Phelps
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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