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Searching Content indexed under Financial Services by Duff and Phelps ordered by Published Date Descending.
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1
Updates For Hong Kong Country-by-Country Reporting Framework
Consistent with the OECD framework, the IRD will also be participating in automatic exchange mechanisms designed to facilitate the exchange of CbCRs between countries.
Hong Kong
15 May 2019
2
Staffing Industry Insights – Spring 2019
Buyers continue to have very specific criteria as they evaluate acquisition targets.
United States
29 Apr 2019
3
FCA Publishes Priorities For 2019-2020
Finally, the FCA also announced a proposed supervisory review of firms' remuneration practices.
UK
29 Apr 2019
4
Small AIFMs - Mind The Transaction Reporting Gap
A year on from the Markets in Financial Instruments Directive II (MiFID/MiFIR) and transaction reporting is still an area of confusion for alternative investment fund managers (AIFMs).
UK
4 Apr 2019
5
Regulatory Focus – March 2019
In this edition of Regulatory Focus, the experts in Duff & Phelps' UK Compliance and Regulatory Consulting team, provide a detailed synopsis of the latest news and publications issued by the FCA during February 2019.
UK
4 Apr 2019
6
EU Updates Its Blacklist Of Non-Cooperative Jurisdictions In Taxation Matters
On March 12, 2019, the European Union updated the EU Blacklist of Non-Cooperative Jurisdictions in Taxation Matters and added 10 new jurisdictions to the list, including Aruba, Barbados, Belize, Bermuda, ...
European Union
19 Mar 2019
7
EU Council And Parliament Provisionally Agree To Regulatory Supervision Framework
The UK will likely implement its own equivalent Prudential Regime for Investment Firms.
European Union
12 Mar 2019
8
You're Invited to Take Our Global Regulatory Outlook Survey
The 2019 Global Regulatory Outlook Survey explores trends in AML programs, whistleblowing, technology and more.
Worldwide
12 Mar 2019
9
2018 European Goodwill Impairment Study
In 2013, Duff & Phelps launched its inaugural study of goodwill impairments recognized by European companies.
European Union
12 Mar 2019
10
Valuation Insights – Greater China Edition First Quarter 2019
In this edition of Valuation Insights, we look at regulatory changes, report releases and market trends from the first quarter of 2019.
China
12 Mar 2019
11
Cost Of Capital Navigator – New Features
The Duff & Phelps Cost of Capital Navigator is an online application that guides the analyst through the process of estimating cost of capital, a key component of any valuation analysis.
United States
22 Feb 2019
12
Regulatory Focus – February 2019
ESMA report on accepted market practices and other publications.
UK
19 Feb 2019
13
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
14
FCA Agrees MoU with ESMA And EU Regulators
On February 1, 2019 the Financial Conduct Authority (FCA) announced that it has agreed Memoranda of Understanding with the European Securities and Markets Authority and EU and EEA National Competent Authorities .
UK
8 Feb 2019
15
FINRA Issues Its 2019 Risk Monitoring And Examination Priorities Letter
Suitability remains one of FINRA's top priorities.
United States
5 Feb 2019
16
Staffing Industry Insights – Winter 2019
As the staffing industry continues to benefit from a positive operating environment across most industry sectors, owners are capitalizing on their strong financial performance by realizing value through either a sale or recapitalization transaction.
United States
29 Jan 2019
17
FCA Issues Further Consultation Clarifying And Amending Elements Of The Senior Managers And Certification Regime
The FCA has issued a consultation paper (CP19/4) entitled "Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function".
UK
29 Jan 2019
18
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
19
Do UK Regulators Have The Wrong Attitude To Whistleblowing?
The UK should reconsider its reluctance to adopt something similar.
UK
24 Jan 2019
20
Capital Markets Insights – Late Fall 2018
One of the most significant risk to economic growth remains Brexit negotiations between the UK and European Union.
Worldwide
24 Jan 2019
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