Fri, Aug 14, 2020

Regulatory Focus – July 2020

In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news from the UK and European regulatory authorities, summarize recent enforcement actions, and highlight a proposed change to the U.S. Securities and Exchange Commission (SEC) rules on Form 13f, which could lead to a significant increase in the reporting threshold for institutional investment managers.

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