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Searching Content indexed under Compliance by Stephanie Monaco ordered by Published Date Descending.
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OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
The US Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its 2019 examination priorities on December 20, 2018,
United States
27 Feb 2019
2
US Securities And Exchange Commission Announces 2015 Examination Priorities
The Office of Compliance Inspections and Examinations of the US Securities and Exchange Commission has announced its 2015 examination priorities.
United States
27 Jan 2015
3
US Commodity Futures Trading Commission Releases FAQs For CPOs and CTAs
On August 14, 2012, the US Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight released a set of frequently asked questions and answers.
United States
23 Aug 2012
4
US Securities and Exchange Commission Adopts New Exemptions for Investment Advisers
On July 21, 2010, The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd- Frank) was signed into law, amending certain portions of the Investment Advisers Act of 1940, as amended (Advisers Act) effective July 21, 2011.
United States
 
25 Jul 2011
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