Fri, Jul 3, 2020
Quarterly U.S. Regulatory Roundup - Second Quarter 2020
COVID-19 Resources
- Duff & Phelps COVID-19 Resource Center
- SEC COVID-19 Frequently Asked Questions
- FINRA COVID-19 Task Force
U.S. Securities and Exchange Commission Update – Second Quarter 2020
- COVID-19 Market Monitoring Group – Update and Current Efforts
- SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
- Risk Alert: Examinations Focusing on Regulation Best Interest and Form CRS
- SEC Proposes Fund Valuation Practice Modernization
- SEC Adopts Amendments to Financial Disclosures about Acquired and Disposed Businesses
- SEC Adopts Temporary Amendments to Regulation Crowdfunding
- Risk Alert: Examination Initiative: LIBOR Transition Preparedness
- SEC Extends Relief for Fund Board Virtual Meetings
- Risk Alert: Observations from Examinations of Investment Advisers Managing Private Funds
Financial Industry Regulatory Authority Update – Second Quarter 2020
- FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
- FINRA Issues Guidance on Protecting Senior Investors
- FINRA Regulatory Notice 20-13: FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
- FINRA Regulatory Notice 20-14: Sales Practice Obligations with Respect to Oil-Linked Exchange-Traded Products
- Frequently Asked Questions About Advertising Regulation
- FINRA Regulatory Notice 20-18: FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
National Futures Association Update – Second Quarter 2020
- CFTC Issues COVID-19 Customer Advisory on Fee Scams
- Amendments to NFA Compliance Rule 2-29 and Related Interpretive Notice Now Effective
- Notice I-20-21: Increase in Fraudulent Phishing Emails Warrants Member Vigilance
Enforcement Matters – Second Quarter 2020
- SEC Charged Husband and Wife in Insider Trading Scheme
- SEC Charged Multinational Financial Corporation with Providing Misleading Information to Retail Clients
- CFTC Files Charges in $20 Million International Binary Options and Digital Asset Fraud Scheme
- SEC Charged Former Registered Representative with Defrauding Investors
- SEC Charged Investment Adviser Representative for Conducting Fraudulent “Cherry-Picking” Scheme
- SEC Charged Private Equity Firm with Compliance Failures
- SEC Awards Almost $2 Million to Whistleblower
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With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
Retained Compliance Support and Managed Services
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
Retained Compliance Support and Managed Services
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
