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
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Insights
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OCIE Risk Alert – Investment Adviser Principal and Agency Cross Trading Compliance Issues
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OCIE Observations from Examinations of Investment Advisers
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U.S. Stay Regulations Affecting Prime Brokers
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Regulatory Focus – June 2019
by Ian Manson
