Thu, Aug 1, 2019
Regulatory Watch – Asset Management Q2 2019
In this edition of Regulatory Watch, the experts in Duff & Phelps’ Paris Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by France’s Autorité des marchés financiers affecting the asset management industry during the second quarter of 2019.
This publication also includes an roundup of news and enforcement matters from the United Kingdom’s Financial Conduct Authority (FCA), the European Union and the U.S. financial regulator the Securities and Exchange Commission (SEC).
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.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
French Regulation
A range of support from a review of your suitability arrangements, training, controls and procedures to conducting bespoke reviews on past business activities.
Financial Crime Prevention
Financial crime risk has again risen to the top of the regulatory agenda, and remains one of the most immediate risks for many firms, with criminals constantly seeking new ways to circumvent protective controls.
Anti-Money Laundering
Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.