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Searching Content by Peter Wilson ordered by Published Date Descending.
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OCIE Observations From Examinations Of Investment Advisers
As part of the OCIE's focus on protecting retail investors, the staff conducted a series of examinations to assess the oversight practices of SEC-registered investment advisers that previously employed, ...
United States
2 Aug 2019
2
OCIE Risk Alert – Safeguarding Customer Records And Information In Network Storage
On May 23, 2019, the OCIE published a Risk Alert regarding security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in various network storage solutions ...
United States
20 Jun 2019
3
SEC Adopts New Rules And Interpretations
The SEC's interpretations under the Advisors Act will become effective upon publication in the Federal Register.
United States
19 Jun 2019
4
Through The Regulator's Eyes
Just like compliance officers, regulators work within a range of forces, priorities, and constraints. Understanding those factors is essential for managing regulatory relationships.
United States
14 Jun 2019
5
Quarterly U.S. Regulatory Roundup – First Quarter 2019
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 ...
United States
29 May 2019
6
NFA Internal Controls System Interpretive Notice
Each Commodity Pool Operator (CPO) Member must develop a framework and implement an internal controls system that deters errors and fraudulent activity by employees, management, and third parties in order to safeguard customer funds.
United States
15 Feb 2019
7
FINRA Issues Its 2019 Risk Monitoring And Examination Priorities Letter
Suitability remains one of FINRA's top priorities.
United States
5 Feb 2019
8
Reminder: Renewal And State Notice Filings Due December 17
Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.
United States
24 Jan 2019
9
FINRA 2018 Report On Selected Cybersecurity Practices
On December 20, 2018 FINRA published its Report on Selected Cybersecurity Practices – 2018, detailing FINRA's observations regarding effective information-security practices implemented at securities
United States
22 Jan 2019
10
OCIE Risk Alert Relating To Electronic Messaging
If you have any questions or require further information, please do not hesitate to contact one of our experts.
United States
16 Jan 2019
11
2018 Report On FINRA Examinations And 2019 Fingerprint Fee Change
On December 7, FINRA published its 2018 Report on FINRA Examination Findings.
United States
14 Jan 2019
12
SEC Approves Consolidated FINRA Registration Rules
Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:
United States
1 Nov 2018
13
SEC Issues Risk Alert On Best Execution
After analyzing deficiency letters from over 1,500 investment adviser examinations, the SEC's Office of Compliance Inspections and Examinations released a risk alert regarding the most common deficiencies...
United States
18 Jul 2018
14
Duff & Phelps Publishes Its Annual Global Regulatory Outlook
The more things change, the more they stay the same. With Brexit and Trump dominating global headlines last year, much of the resulting uncertainty persists in our Global Regulatory Outlook 2018 survey.
United States
30 May 2018
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