Regulatory Focus – December 2018

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

 

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