Wed, Aug 14, 2019
Quarterly U.S. Regulatory Roundup – Second 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 second quarter of 2019.
- SEC announcements
- FINRA reporting obligations
- NFA notices
- CFTC announcements
- Judicial actions
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
Comprehensive support for asset managers registering in the U.S.
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
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
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.