Mon, May 20, 2019

Quarterly U.S. Regulatory Roundup – First Quarter 2019

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 first quarter of 2019.

  • SEC announcements
  • FINRA 2019 examination priorities
  • NFA notices
  • CFTC announcements

Stay Ahead with Kroll

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.

Broker-Dealer Services

Broker-Dealer Services

Our broker-dealer compliance specialists work with U.S. and international broker-dealers to assist them in meeting regulatory obligations while reducing their compliance risk profile.

Investment Adviser Services

Investment Adviser Services

Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.

SEC Registration

SEC Registration

Kroll has an experienced team in the U.S. and other global jurisdictions who has helped firms to become SEC registered and advised on exemption requirements.

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