Sustainable Finance Disclosures Regulation and the impact of the delayed regulatory technical standards on UK firms.

December 4, 2020

The European Commission has confirmed in a letter to Trade Associations that the regulatory technical standards (Level 2 RTS) which underpin the European Union's ("EU") Sustainable Finance Disclosures Regulation (“SFDR”) will be delayed.  It is...

Operational Resilience. What does it mean?

September 7, 2020

Operational Resilience is the embedding of capabilities and processes, behaviours and systems which allows an organisation to continue to carry out its business in the face of disruption regardless of the source. Operational resilience is...

Guidance on Compliance Functions

September 2, 2020

Background On 5 June 2020 ESMA published new final guidelines on certain aspects of the compliance function requirements under the Markets in Financial Instruments Directive (MiFID II). Whilst the appropriate role, structure and responsibilities of...

FCA Market Watch 63 – Market Conduct During Coronavirus Pandemic

August 17, 2020

Market Watch 63 issued in May 2020 has been widely discussed given it reflects the concerns of many Compliance Officers when in a Working From Home (WFH) environment. As firms prepare to get their front...

A New Regulatory Capital Regime for MiFID Investment Firms

August 10, 2020

On 23 June 2020, HM Treasury confirmed that the UK will introduce its own prudential regime for investment firms, the Investment Firms Prudential Regime (IFPR), based on the EU’s proposals (Investment Firm Directive (IFD) /...

Effecta is pleased to announce we are now open in Dubai, with offices in the DIFC.

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