Wed, Feb 7, 2018

Quarterly U.S. Regulatory Roundup

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In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines relevant SEC, FINRA and CFTC updates, enforcement and judicial actions, and highlights approved rules for fourth quarter 2017. 

Highlights Include: 

  • Statements by SEC Chairman Jay Clayton from the Annual PLI Seminar
  • SEC Announcements
  • FINRA 2017 Examination Findings
  • CFTC Annual Enforcement Results
  • The Approved Investment Adviser Requirements Rule

Financial Services Compliance and Regulation

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