Mon, Apr 27, 2020
Quarterly U.S. Regulatory Roundup – First Quarter 2020
In the latest edition of the U.S. Regulatory Roundup, Duff & Phelps' Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and regulatory news in relation to COVID-19 in the first quarter of 2020.
Executive Summary
Apr 27, 2020
US Securities and Exchange Commission Update - First Quarter 2020
Apr 27, 2020
Financial Industry Regulatory Authority Update - First Quarter 2020
Apr 27, 2020
National Futures Association Update - First Quarter 2020
Apr 27, 2020
COVID-19 and U.S. Regulation - First Quarter 2020
Apr 27, 2020
Other Regulatory Matters - First Quarter 2020
Apr 27, 2020
- View all articles
U.S. Securities and Exchange Commission Update – First Quarter 2020
- SEC Postpones National Compliance Outreach Seminar for Investment Companies and Investment Advisers
- SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
- SEC Office of Compliance Inspections and Examinations Publishes Observations on Cyber Security and Resiliency Practices
- SEC Proposes Improvements to Governance of Market Data Plans
- SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
- Jury Finds Investment Adviser and its Owner Liable for Fraud
- SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
- SEC Obtains Judgment Against Former Chief Compliance Officer of Investment Adviser
- SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Financial Industry Regulatory Authority Update – First Quarter 2020
- FINRA Launches New Data on Treasury Securities Trading Volume
- New Rate for Fees Paid Under Section 31 of the Exchange Act
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priority Letter
- SEC Approves Amendments to FINRA Rules 5130 and 5131 Relating to Equity IPO’s
- Information Notice: 2020 and First Quarter of 2021 Report Filing Due Dates
National Futures Association Update – First Quarter 2020
- Educational Resources, Common Deficiencies and Other Important Regulatory Information for CPO and CTA Members
- Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) with Respect to COPs/CTAs Exempt from Registration
- NFA’s Swaps Proficiency Requirements Effective January 31, 2020
COVID-19 and U.S. Regulation – First Quarter 2020
- SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for IBs
- SEC Extends Conditional Exemptions from Reporting and Proxy Delivery Requirements for Public Companies, Funds and Investment Advisers Affected by COVID-19
- Coronavirus (COVID-19) Update – Regulatory Relief for CPOs and CTAs
- SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by COVID-19
Other Regulatory Matters – First Quarter 2020
- California Consumer Protection Act
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.
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 Mock Examination Services
We have devised a methodical approach to preparing for and navigating any SEC examination.
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.
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 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.