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Top 5 Regulatory Alerts – Q2 2019

Here are our Top 5 Regulatory Alerts for Q2 2019 (April-June), ranked by significance.  We have also included the Top 5 most read Alerts.

 

Top 5 Regulatory Alerts – Q2 2019

  1. SEC ADOPTS REGULATION BEST INTEREST, RAISING BROKER STANDARD OF CARE (6/6/19)
  2. SEC ALERTS RIAS/BDS TO CLOUD PROVIDER MONITORING OBLIGATIONS (5/24/19)
  3. SEC SAYS THAT ICO IS NOT A SECURITIES OFFERING (4/4/19)
  4. LARGE CUSTODY BANK TO PAY $89 MILLION FOR MARKING UP OUT-OF-POCKET EXPENSES (6/28/19)
  5. HEDGE FUND FINED $5 MILLION FOR WEAK VALUATION PROCEDURES (6/5/19)

 Most Read – Q2 2019

  1. ADVISER FACES INDUSTRY DEATH PENALTY AND CRIMINAL PROSECUTION FOR IGNORING CUSTODY RULE (4/1/19)
  2. BIG 4 FIRM FINED $50 MILLION FOR STEALING EXAM ANSWERS (6/18/19)
  3. CHIEF COMPLIANCE OFFICER STOLE EMPLOYEE INFORMATION TO BID AT AUCTIONS (6/4/19)
  4. DUAL-HAT PRINCIPAL/CCO CAUSED MULTIPLE COMPLIANCE VIOLATIONS (5/29/19)
  5. FRAT BRO RAN PONZI SCHEME (6/11/19)