/-/media/assets/images/publications/compliance-and-regulatory-consulting/reg-focus/regulatory-focus-april-2020-feature.jpg

Regulatory Focus – December 2020

In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news and publications from the UK and European regulatory authorities.

The Voice

Are You Ready for Brexit?

Chancellor Outlines Plans for the Future of UK Financial Services

UK Defers CRR2 and IFPR Implementation to January 2022

FCA Updates – November 2020

Three Individuals Banned from Working in Financial Services for Non-Financial Misconduct

Response to Equivalence Announcement by Treasury

Green Horizon Summit: Rising to the Climate Challenge

Response to Chancellor's Statement on Future of UK Financial Services

Nikhil Rathi Discusses the FCA's Pandemic Response and His Vision for the Future

High Court Proceedings Begin Against Unauthorized Collective Investment Schemes

Facing the Future - Challenges and Priorities

Director of International Discusses End of Brexit Transition Period

FCA Updates – October 2020

Rules for the End of Brexit Transition Period

Support for Innovative Companies Tackling COVID-19 Challenges

FCA Working to Reduce Delays in the Assessment of Senior Managers’ Applications

FCA to Participate Cross-Border Testing Initiative

FCA Updates – September 2020

Regulators Urge Consumers to be Wary of Pension Scams

Amerdeep Somal Appointed as Complaints Commissioner

Former CEO Censured for Market Misconduct

Annual Report and Accounts 2019/2020 Published

FCA Looks to Improve the Consumer Investment Market

Decision Notice Against Individual for Market Manipulation

A Regulatory Perspective: The Drivers of Culture and the Role of Purpose and Governance

Financial Regulators Publish Updated Regulatory Initiatives Grid

A New Model for Financial Regulation in the UK

Consultation on the Regulation of International Firms Launched

Firms Begin Transition to RegData

Update Following Government COVID-19 Restriction Statements

FCA Begins Criminal Proceedings Against Individuals for Market Abuse

FCA FITRS Testing Begins

Update on Business Interruption Insurance Test Case Appeals Process

Companies House Reform to Reduce Fraud and Give Businesses Greater Confidence in Transactions

Articles

Contact Us

Other Areas We Can Help

Compliance Consulting

Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.

Compliance Consulting

EU Regulation

Comprehensive compliance and regulatory support for EU firms.

EU Regulation