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Searching Content indexed under Securities by Hannah Rossiter ordered by Published Date Descending.
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Regulatory Watch – Asset Management Q2 2019
In this edition of Regulatory Watch, the experts in Duff & Phelps' Paris Compliance and Regulatory Consulting team.
Worldwide
5 Aug 2019
2
Spotlight On Sectors
Big banks are still attracting the largest fines from financial regulators. Similar to previous years, investment banking globally was the recipient of the lion's share of penalty amounts handed out in 2017, with fines totaling US$20.6 billion.
UK
31 Oct 2018
3
A Quiet Revolution
In this respect, the spot inspections are similar to the thematic reviews of the FCA in the UK.
France
30 Oct 2018
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