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 during October and November 2018.
Highlights include:
- A reminder that there is only one year to go until the implementation of the Senior Managers and Certification Regime, which will apply to all regulated firms from December 9.
- The FCA's activity regarding Brexit, including the publication of the FCA's EU Withdrawal Impact Assessment, and its two consultation papers setting out its proposals in the event of a Hard-Brexit.
- FCA confirms greater access for SMEs to the Financial Ombudsman Service
- The Executive Director of Supervision's speech on the importance of international cooperation at the Pan Asian Regulatory Summit.
- Cryptoasset Taskforce publishes report on UK approach to cryptoassets and the Executive Directors of Strategy and Competition at the FCA's speech at the Regulation of Cryptocurrencies event in London
- Recent enforcement actions
Regulatory Focus – December 2018.pdf (16.1) MB
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