Searching Content indexed under Compliance by Duff and Phelps ordered by Published Date Descending.
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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
New Luxembourg Register Of Beneficial Owners (RBE) Requirements
Failure to comply with the RBE law may result in criminal fines amounting to €1,250,000.
25 Jul 2019
Considerations Winding Up Of Cayman Islands Domiciled Entities In 2019
Liquidators of Cayman Islands entities that are reporting financial institutions under Common Reporting Standard and Foreign Accounts Tax Compliance Act regulations are required to comply with CRS and FATCA reporting obligations ...
Cayman Islands
15 Jul 2019
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
Avoiding Investor Red Flags – The Role Of Compliance In Fundraising
Experienced investors demand sophisticated compliance.
United States
21 Jun 2019
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
Walking The Accountability Tightrope
Two paths have emerged in the move toward increased accountability in financial services.
17 Jun 2019
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
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.
15 May 2019
Delaware Unclaimed Property Voluntary Disclosure Agreement Deadline Has Arrived
Traditionally, Delaware uses third party, contingently paid, multistate auditors to conduct unclaimed property audits.
United States
13 May 2019
Regulatory Focus – February 2019
ESMA report on accepted market practices and other publications.
19 Feb 2019
OCIE Risk Alert Relating To Electronic Messaging
If you have any questions or require further information, please do not hesitate to contact one of our experts.
United States
16 Jan 2019
Human Resources As The New Compliance Function
Individual accountability won't transform organizational culture on its own, but firms could make greater use of a resource they already have.
1 Nov 2018
Spring 2019 Unclaimed Property Reporting Season Begins November 1, 2018
The fall 2018 unclaimed property reporting season is nearing an end.
United States
26 Oct 2018
AICPA Accounting And Valuation Guide
Valuation of Portfolio Company Investments of Venture Capital and Private Equity Funds and Other Investment Companies.
United States
29 Aug 2018
Unclaimed Property Reporting: Best Practices For Complying With Due Diligence And Notification Requirements In The 21st Century
Most unclaimed property reporting laws require that companies that are "holders" of potentially abandoned property notify apparent owners before turning over their funds to the states.
United States
12 Jun 2018
Unclaimed Property Reporting: Best Practices For Managing Unclaimed Property Reporting And Compliance With State Escheat Laws
Unclaimed Property Reporting – three words that have kept many state tax and compliance specialists at U.S. corporations awake at night.
United States
25 May 2018
Alternative Data Brings Different Problems - Global Regulatory Outlook 2018
Big data's becoming a big issue for hedge funds and other managers, and it could cause some major problems for compliance.
United States
26 Apr 2018
Lifting the Veil - Global Regulatory Outlook 2018
For many firms, the FMCC merely codifies existing conduct.
Hong Kong
26 Apr 2018
How To Avoid A Delaware Unclaimed Property Audit
A great deal has been written about the inordinate time and expense companies experience as result of being subject to a Delaware unclaimed property audit.
United States
18 Apr 2018
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