US regulation - Complyport UK Consultancy Service

31 July 201508 August 2016
Latest News

Registered Investment Advisers – Personal Account Dealing Guidance

In late June 2015, the United States Securities and Exchange Commission (SEC) Division of Investment Management released Guidance Update No. 2015-03 entitled “Personal Securities Transactions Reports by Registered Investment Advisers: […] [...]

09 January 201528 June 2016
Latest News

US Regulation Specialist, Ross Goffi Joins Complyport

Complyport is delighted to announce that US Regulation Specialist, Ross Goffi has joined. Ross brings with him a wealth of in-house compliance expertise from various firms including J.P Morgan and Aviva […] [...]

Tag: US regulation

Registered Investment Advisers – Personal Account Dealing Guidance

US Regulation Specialist, Ross Goffi Joins Complyport

INSIGHTS & EXPERTISE

NEWS & EVENTS

Women in Compliance: Navigating Challenges & Embracing Opportunities

Webinar: The FCA’s Greenwashing Regulations are Now in Effect – What Does this Mean?

Online Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Webinar: Is Your AML Compliance Robust Enough?

Webinar: Consumer Duty – The Aftermath

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)