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Top 15 Regulatory Alerts for 2015

During 2015, we sent out 193 Regulatory Alerts to our 2700+ subscribers. From that list, we have compiled “Our Take” of the 15 most significant Alerts. We have also included the Top 15 most read Alerts (excluding our ever-popular Best of the Web and Top 5 monthly lists). We look forward to more regulatory discussion during 2016.

Top 5 Regulatory Alerts

  1. SEC Releases 2015 Examination Priorities (1/13/15)
  2. DoL Proposal Imposes Fiduciary Standard on Retirement Advisers (4/15/15)
  3. Fund Sponsor to Pay $40 Million for Using Fund Assets to Pay for Distribution (9/22/15)
  4. CCO Sanctioned and Firm Fined $12 Million for Allowing PM Conflict of Interest (4/21/15)
  5. Private Equity Firm Pays $20 Million Fine for Compliance Shortfalls (8/11/15)
  6. SEC Punishes RIA for Failing to Stop Cyber-Attack (9/24/15)
  7. SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
  8. SEC Will Recommend Requiring Third Party Compliance Reviews for RIAs (10/27/15)
  9. SEC Proposes Restricting Derivatives for Registered Funds (12/14/15)
  10. Registered Alts Manager Disciplined for Violating Investment Company Act (2/13/15)
  11. SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)
  12. SEC Sanctions and Fines Mutual Fund Independent Directors and Sponsor for Inadequate Contract Review Process (6/18/15)
  13. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)
  14. Fund Administrator Charged for Weak Compliance Procedures (7/2/15)
  15. Private Equity Firm to Pay $39 Million for Inadequate Fee Disclosures (10/8/15)

Most Read Alerts

  1. SEC Will Recommend Requiring Third Party Compliance Reviews for RIAs (10/27/15)
  2. SEC Prosecutes RIA for Weak Compliance Program (1/22/15)
  3. Cybersecurity Procedures Recommendations from SEC Staff (4/29/15)
  4. SEC Releases 2015 Examination Priorities (1/13/15)
  5. Adviser and Principals Fined and Censured for Misleading Marketing Materials (12/1/15)
  6. Inadequate Compliance Program Brings Down PE Firm (11/24/15)
  7. SEC Offers Guide to Outsourcing Compliance (11/10/15)
  8. Manager-of-Managers Will Pay $16.5 Million for Failing to Verify Performance (11/17/15)
  9. SEC Gets Court Order to Obtain Emails from ISP (12/15/15)
  10. SEC Official Outlines CCO Job Requirements (10/23/15)
  11. Firm Fined $2.6 Million for Failing to Maintain Emails in Proper Format (11/30/15)
  12. Death Penalty for Fund Manager that Charged Overhead Expenses to Funds (4/30/15)
  13. SEC Alleges that CCO Failed to Verify AUM and Filed False ADV (4/14/15)
  14. CCO Suspended and Fined for AML Failures (1/15/15)
  15. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)