Regulatory Focus - Issue 103

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Duff and Phelps

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Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.
In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA's latest news and publications issued in January 2017.
United States Finance and Banking

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

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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