UK:
Regulatory Focus – July 2019
02 August 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 (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)
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