ARTICLE
27 November 2019

Quarterly U.S. Regulatory Roundup – Third Quarter 2019

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Duff and Phelps

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Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.
Quarterly U.S. Regulatory Roundup.
United States Finance and Banking

In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and CFTC from the third quarter of 2019.

Highlights Include:

  • SEC announcements
  • FINRA advice
  • NFA amendments
  • CFTC actions
  • Enforcement cases

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Quarterly U.S. Regulatory Roundup – Third Quarter 2019.pdf (4.8) MB

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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