Tue, Mar 31, 2020
Regulatory Focus - March 2020
Voice
Guidance For Firms on COVID-19
Supervisory
FCA Consultation Paper 19/32 - Building Operational Resilience
ESMA Launches a Common Supervisory Action with NCAs on MiFID II Suitability Rules
Other
Post Brexit - Provision of Services in the EU
ESMA Consults on Guidelines on the Assessment of Leverage Related Systemic Risks and Leverage Limits
Two Non-Executive Directors Appointed to the Financial Conduct Authority (FCA) Board
ESMA Publishes the Final Report on MiFIR Alignments Following the Introduction of EMIR Refit
Sheldon Mills Appointed as Interim Executive Director of Strategy and Competition
ESMA Finds Continued High Risks as Markets Remain Highly Volatile
FCA Publishes the Number of STORs Received in 2019
Enforcement
Financial Services Compliance and Regulation
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