The Compliance & Regulatory Focus is an insightful monthly publication produced by the Securities Segment of KPMG's Financial Services Regulatory Practice. It represents a combination of our two popular newsletters: the Securities Regulatory Report and the Investment Management Compliance Focus.
The Compliance & Regulatory Focus is written by our professionals and tracks and analyzes the current, dynamic events across the financial services industry. It highlights developments in the various industry segments that are relevant to broker/dealers, investment advisers, fiduciaries and others. The Compliance & Regulatory Focus is a useful tool for industry professionals to successfully conduct business in today’s global marketplace.
Click here for past issues of the Compliance & Regulatory Focus:
2001, 2002, 2003, 2004 and 2005, 2006, 2007, 2008
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