In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and CFTC from the third quarter of 2019.
Highlights Include:
- SEC announcements
- FINRA advice
- NFA amendments
- CFTC actions
- Enforcement cases
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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.
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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.
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.
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.