Tue, Nov 5, 2019
Quarterly U.S. Regulatory Roundup – Third Quarter 2019
In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and CFTC from the third quarter of 2019.
Highlights Include:
- SEC announcements
- FINRA advice
- NFA amendments
- CFTC actions
- Enforcement cases
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.
CFTC/NFA Services
Comprehensive support to ensure your firm remains in full compliance with ongoing reporting requirements, including preparation for NFA on-site examinations.
SEC Mock Examination Services
We have devised a methodical approach to preparing for and navigating any SEC examination.