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Searching Content by Gisela Moreno from Duff and Phelps 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
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
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