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Top 5 Regulatory Alerts – September 2017

Here are our Top 5 Regulatory Alerts for September 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – September 2017

  1. SEC CREATES CYBER-UNIT (9/26/17)
  2. SEC WARNS ADVISERS ABOUT MISLEADING ADVERTISING PRACTICES (9/18/17)
  3. DUAL-HATTED CCO AND UNDER-RESOURCED COMPLIANCE FUNCTION RESULT IN FINE/CENSURE FOR BD (9/28/17)
  4. PE FIRM PAYS $3.4 MILLION FOR BROKEN DEAL EXPENSES PAID SINCE 2004 (9/22/17)
  5. BD SMACKED WITH $1.5 MILLION FINE FOR FAILING TO PROPERLY MAINTAIN ELECTRONIC TRADING RECORDS (9/19/17)

 

Most Read – September 2017

  1. SEC WARNS ADVISERS ABOUT MISLEADING ADVERTISING PRACTICES (9/18/17)
  2. SEC TAKES ACTION AGAINST HEAD OF REGULATORY REPORTING (9/5/17)
  3. DUAL-HATTED CCO AND UNDER-RESOURCED COMPLIANCE FUNCTION RESULT IN FINE/CENSURE FOR BD (9/28/17)
  4. PRIVATE EQUITY FIRM CHARGED OVERHEAD AND PORTFOLIO EXPENSES TO FUND (9/12/17)
  5. SEC CREATES CYBER-UNIT (9/26/17)

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