United States:
Regulatory Focus - Issue 103
27 July 2017
Duff and Phelps
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In this edition of Regulatory Focus, Duff & Phelps provides
a synopsis of the FCA's latest news and publications issued
in January 2017.
Highlights include:
- The FCA's review of firms and
their Appointed Representatives
- An update on the SEC
- The publication of MiFID II
authorisation guidance - 'The Guide'
- Annex IV Reporting
Read Regulatory Focus - Issue 103
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