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Day: March 7, 2016

Top 5 Regulatory Alerts – February 2016

Here are our Top 5 Regulatory Alerts for February 2016, 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 – February 2016

  1. SEC Chair Wants Third Party Compliance Reviews of Advisers (2/23/16)
  2. FINRA Conducting Culture Sweep (2/19/16)
  3. Adviser Sanctioned for Failing to Verify Third Party Model’s Performance (2/24/16)
  4. Founder/CEO Resigns over Compliance Failures (2/22/16)
  5. SEC Chair White Says the SEC is Investigating Accredited Investor Due Diligence (2/9/16)

 

Most Read – February 2016

  1. Founder/CEO Resigns over Compliance Failures (2/22/16)
  2. Adviser Sanctioned for Failing to Verify Third Party Model’s Performance (2/24/16)
  3. SEC Chair White Says the SEC is Investigating Accredited Investor Due Diligence (2/9/16)
  4. SEC Chair Wants Third Party Compliance Reviews of Advisers (2/23/16)
  5. FINRA Conducting Culture Sweep (2/19/16)