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Searching Content indexed under Compliance by Duff and Phelps ordered by Published Date Descending.
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Title
Country
Organisation
Author
Date
1
Owning The Risk Agenda
Industry thus needs to be more proactive in setting its risk agenda.
Singapore
21 Jun 2019
2
Navigating The Challenges Of Regulatory And Enforcement Actions
Strategies for handling these potentially traumatic situations need to be an integral part of a firm's compliance DNA.
United States
21 Jun 2019
3
Avoiding Investor Red Flags – The Role Of Compliance In Fundraising
Experienced investors demand sophisticated compliance.
United States
21 Jun 2019
4
Regtech On The Rise
Technology is increasingly being integrated into supervision and compliance as regulators and firms respond to digital disruption.
Worldwide
18 Jun 2019
5
AML Is Everybody's Problem And Nobody's – And That's A Problem
Measures designed to combat money laundering dominate the global regulatory environment.
UK
18 Jun 2019
6
Through The Regulator's Eyes
Just like compliance officers, regulators work within a range of forces, priorities, and constraints. Understanding those factors is essential for managing regulatory relationships.
United States
14 Jun 2019
7
JFSC Issues Findings From Thematic Review Into Suitability Of Investments
In response to increasing concerns around investment advice, in early 2017, the JFSC launched an awareness campaign highlighting the potential dangers of high-risk investments and mis-selling.
Jersey
26 Feb 2018
8
Transfer Pricing Times: IRS Issues New LB&I Directives
On January 12, 2018, the U.S. IRS Large Business and International ("LB&I") Division issued several new directives establishing procedural changes aimed at enabling the IRS to manage resources in transfer pricing audits.
Worldwide
22 Feb 2018
9
NFA And FINRA Provide Cybersecurity Guidance And Workshops
On May 3, 2017, FINRA will host a Compliance Bootcamp in New York City for its members and will provide guidance on cybersecurity.
United States
4 Aug 2017
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