Compliance
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
March 17, 2022
by Monique Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Malin Nilsson, Aaron Weiss
Tue, May 25, 2021
Regulatory Focus - May 2021
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up news and publications from the FCA during March and April 2021.
The Voice
Market Participants Encouraged to Switch to SONIA
FCA Updates – March 2021
FCA Restricts from Undertaking Regulated Activities
A Forward Look at Regulation of the UK’s Wholesale Financial Markets
FCA Starts Criminal Proceedings Against a Retail and Commercial Bank
Why Are Diversity and Inclusion Regulatory Issues?
Update on Trial Dates in Criminal Cases
FCA Releases a Statement on Its Approach to the UK’s Derivatives Trading Obligation
Liquidity Management in UK Open-Ended Funds
FCA Publishes a Decision Notice for Non-Financial Misconduct
FCA Updates – April 2021
Securities and Exchange Commission (SEC) Environmental, Social and Governance (ESG) Risk Alert
Regulating the UK as a Global Financial Centre
A Peer Review of the UK Remuneration Regime Published by the Financial Stability Board (FSB)
FCA Bans and Fines Individual for Lack of Honesty and Integrity
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
Insights
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
Regulatory Updates
SEC Division of Examinations Announces 2024 Priorities
October 25, 2024
by Ken C. Joseph, Esq., David Larsen, Alyssa Heim, Anna Povinelli
Regulatory Updates
Balancing Innovation and Responsibility: The Customer Appropriateness Assessment and Crypto Assets
February 12, 2024
by Tammy Li, Matt Austen
Regulatory Updates
AI Risks and Compliance Strategies
January 31, 2024
by Ken C. Joseph, Esq., Jonathan "Yoni" Schenker, Ana D. Petrovic
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