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Top 5 Regulatory Alerts – October 2018

Here are our Top 5 Regulatory Alerts for October 2018, ranked by significance.  We have also included the Top 5 most read Alerts.

 

Top 5 Regulatory Alerts – October 2018

  1. SEC WARNS FIRMS TO TAKE ACTION AGAINST CYBER-FRAUDS (10/18/18)
  2. SEC ALLOWS FUND BOARDS TO RELY ON CCO FOR EXEMPTIVE RULE COMPLIANCE (10/15/18)
  3. PRIVATE FUND FIRM FAILED TO TIMELY DELIVER FINANCIALS TO LPS (10/4/18)
  4. SERVICE PROVIDERS ACCOUNTABLE FOR DESTRUCTION OF BROKER-DEALER RECORDS (10/30/18)
  5. STATE SECURITIES REGULATORS REPORT SIGNIFICANT INCREASES IN CRIMINAL PENALTIES (10/11/18)

 

Most Read – October 2018

  1. SEC WARNS FIRMS TO TAKE ACTION AGAINST CYBER-FRAUDS (10/18/18)
  2. PRIVATE FUND FIRM FAILED TO TIMELY DELIVER FINANCIALS TO LPS (10/4/18)
  3. LARGE FUND COMPANY PAYS OVER $2 MILLION FOR ALLOWING CROSS-TRADES (10/1/18)
  4. SEC ALLOWS FUND BOARDS TO RELY ON CCO FOR EXEMPTIVE RULE COMPLIANCE (10/15/18)
  5. ACCOUNTING FIRM FOLLOWED THE WRONG INDEPENDENCE STANDARDS (10/9/18)