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Top 5 Regulatory Alerts – October 2016

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Top 5 Regulatory Alerts – October 2016

Here are our Top 5 Regulatory Alerts for October 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 – October 2016

  1. SEC FILED RECORD NUMBER OF ENFORCEMENT CASES IN FISCAL 2016 (10/13/16)
  2. SEC ADOPTS LIQUIDITY RISK MANAGEMENT PROGRAM RULE (10/14/16)
  3. COMPLIANCE OUTSOURCING HAS DOUBLED IN LAST 3 YEARS (10/18/16)
  4. SEC RISK ALERT WARNS ABOUT WHISTLEBLOWER POLICIES AND PRACTICES (10/26/16)
  5. LARGE HEDGE FUND MANAGER AND CEO TO PAY $413 MILLION TO SETTLE BRIBERY CHARGES (10/4/16)

  

Most Read – October 2016

  1. RIA FAILED TO CONDUCT ANNUAL COMPLIANCE REVIEWS AND APPOINTED ADMIN AS CCO (10/7/16)
  2. SEC CHIEF OF STAFF OUTLINES COMPLIANCE CHALLENGES (10/25/16)
  3. MUTUAL FUND FIRM TO PAY NEARLY $22 MILLION TO FIX NAV ERRORS (10/20/16)
  4. LARGE HEDGE FUND MANAGER AND CEO TO PAY $413 MILLION TO SETTLE BRIBERY CHARGES (10/4/16)
  5. ADVISER AGREES TO HIRE EXPERIENCED CCO TO SETTLE COMPLIANCE CHARGES (10/3/16)

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