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

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.

CFTC/NFA Services

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

SEC Mock Examination Services

We have devised a methodical approach to preparing for and navigating any SEC examination.

Return to top