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Searching Content indexed under Financial Services by Peter Wilson ordered by Published Date Descending.
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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
2
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
3
FINRA Issues Its 2019 Risk Monitoring And Examination Priorities Letter
Suitability remains one of FINRA's top priorities.
United States
5 Feb 2019
4
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
5
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
6
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
7
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
8
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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