Regulatory Focus – July 2019

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


 
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