UK:
Regulatory Focus – December 2018
15 January 2019
Duff and Phelps
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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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