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Searching Content indexed under Securities by Duff and Phelps ordered by Published Date Descending.
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1
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
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
3
U.S. Stay Regulations Affecting Prime Brokers
This is a U.S. regulation that applies to certain prime brokers and the experts in Duff & Phelps' UK Compliance Consulting practice have created a short memo to provide firms with some information on this.
United States
11 Jul 2019
4
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
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
Regulatory Focus – April 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 Financial Conduct Authority during March 2019.
UK
15 May 2019
7
Deadline For Form 42: Employment Related Services
HM Revenue and Customs (HMRC) requires UK businesses to make an annual notification where shares or securities have been acquired by employees including directors and salaried members.
UK
16 Apr 2019
8
Regulatory Focus – February 2019
ESMA report on accepted market practices and other publications.
UK
19 Feb 2019
9
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
10
FINRA Issues Its 2019 Risk Monitoring And Examination Priorities Letter
Suitability remains one of FINRA's top priorities.
United States
5 Feb 2019
11
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
12
How Social Media Postings Can Lead To Significant Liability And Penalties
Failure to police social media postings by corporate insiders can result in reputational harm, litigation, financial penalties, and mandated governance and oversight changes.
United States
23 Jan 2019
13
Duff & Phelps Global Enforcement Review
There are signs that a new regulatory enforcement landscape is coming into view.
Worldwide
22 Jan 2019
14
SEC First Cybersecurity Action And Cyber Preparedness
The message associated with this settlement and penalty is clear.
United States
18 Jan 2019
15
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
16
Secondary Market Advisory Newsletter – Fall 2018
It is true that the secondaries market in general has experienced rapid growth over the last decade and that European GP-led deals have outpaced U.S. deals.
United States
14 Jan 2019
17
Mexico City Office A & A+ Market Overview: Q2 2018
Duff & Phelps Mexico City Office Market Overview focuses on the A & A+ Office markets and discusses the following topics:
Mexico
14 Jan 2019
18
Global Enforcement Review 2018 - Executive Summary
A shadow from which some regulators are only now just emerging.
Worldwide
5 Nov 2018
19
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
20
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
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