Wed, Jan 22, 2020

Global Head of Disputes Consulting Ken Joseph Quoted in the Wall Street Journal

U.S. securities regulators plan to take a closer look at how companies are complying with new rules on investment advice and how they are managing risks posed by outsourcing key services. The compliance priorities, published last week by the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority, offer companies a glimpse of what regulators may focus on during examinations in the year ahead. In this Wall Street Journal article, Duff & Phelps’ Global Head of Disputes Ken Joseph shares his insights: “Be aware of what regulators have told you they are looking at and, at a minimum, make sure you are covering those factors that apply to your business.”

Read the article here.

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