Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.
Compliance and Regulatory ConsultingQuarterly U.S. Regulatory Roundup – Second Quarter 2019
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Peter Wilson PeterWilson
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Gisela Moreno GiselaMoreno
In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC and highlights approved rules for the second quarter of 2019.
- SEC announcements
- FINRA reporting obligations
- NFA notices
- CFTC announcements
- Judicial actions
Related Services
Broker-Dealer Services
Broker-dealer registration, ongoing support services, and mock exams.
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Investment Adviser Services
SEC and CFTC registration and ongoing compliance support.
Investment Adviser Services
Insights
Publication
OCIE Observations from Examinations of Investment Advisers
by Peter Wilson
Publication
U.S. Stay Regulations Affecting Prime Brokers
by Ian Manson
Publication
Regulatory Focus – June 2019
by Ian Manson
Disputes
Wearing Blinders to Avoid the Use of Hindsight Post-Closing
by Frank A. Lazzara
