UK:
Regulatory Focus – September 2019
18 November 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 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.
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