Mon, Apr 27, 2020
Quarterly U.S. Regulatory Roundup - First Quarter 2020
U.S. Securities and Exchange Commission Update – First Quarter 2020
- SEC Postpones National Compliance Outreach Seminar for Investment Companies and Investment Advisers
- SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
- SEC Office of Compliance Inspections and Examinations Publishes Observations on Cyber Security and Resiliency Practices
- SEC Proposes Improvements to Governance of Market Data Plans
- SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
- Jury Finds Investment Adviser and its Owner Liable for Fraud
- SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
- SEC Obtains Judgment Against Former Chief Compliance Officer of Investment Adviser
- SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Financial Industry Regulatory Authority Update – First Quarter 2020
- FINRA Launches New Data on Treasury Securities Trading Volume
- New Rate for Fees Paid Under Section 31 of the Exchange Act
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priority Letter
- SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPO’s
- Information Notice: 2020 and First Quarter of 2021 Report Filing Due Dates
National Futures Association Update – First Quarter 2020
- Educational Resources, Common Deficiencies and Other Important Regulatory Information for CPO and CTA Members
- Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to COPs/CTAs Exempt from Registration
- NFA’s Swaps Proficiency Requirements Effective January 31, 2020
COVID-19 and U.S. Regulation – First Quarter 2020
- SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for IBs
- SEC Extends Conditional Exemptions from Reporting and Proxy Delivery Requirements for Public Companies, Funds and Investment Advisers Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for CPOs and CTAs
- SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by COVID-19
Other Regulatory Matters – First Quarter 2020
- California Consumer Protection Act
Financial Services Compliance and Regulation
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With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
Retained Compliance Support and Managed Services
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
Retained Compliance Support and Managed Services
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
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