Wed, Feb 7, 2018
Quarterly U.S. Regulatory Roundup
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
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
U.S. Compliance Services
U.S. Compliance Services
Comprehensive support for asset managers registering in the U.S.