In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC and highlights approved rules for the second quarter of 2019.
- SEC announcements
- FINRA reporting obligations
- NFA notices
- CFTC announcements
- Judicial actions
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Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.
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Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.
Retained Compliance Support and Managed Services
Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.
Global Regulatory Licensing Services
Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.