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Day: November 11, 2019

Top 5 Regulatory Alerts – Q3 2019

Here are our Top 5 Regulatory Alerts for Q3 2019 (July-September), ranked by significance.  We have also included the Top 5 most read Alerts.

 

Top 5 Regulatory Alerts – Q3 2019

  1. SEC INSPECTIONS STAFF CHIDES ADVISERS FOR WEAK SUPERVISION AND COMPLIANCE (7/24/19)
  2. SEC ADOPTS ETF RULE TO REPLACE EXEMPTIVE ORDERS (9/27/19)
  3. TECH COMPANY FINED $5.1 BILLION FOR FAILING TO DISCLOSE CUSTOMER DATA VIOLATIONS (7/25/19)
  4. CHIEF COMPLIANCE OFFICER HELPS FIRM AVOID BIGGER FINE (9/16/19)
  5. DUAL REGISTRANT FAILED TO CONVERT INACTIVE FEE-BASED ACCOUNTS TO BROKERAGE (9/19/19)

 

Most Read – Q3 2019

  1. SEC INSPECTIONS STAFF CHIDES ADVISERS FOR WEAK SUPERVISION AND COMPLIANCE (7/24/19)
  2. FIRM WRONGLY RELIED ON INEXPERIENCED COMPLIANCE ASSOCIATE (8/15/19)
  3. PORTFOLIO MANAGER BLOWS UP HIS FIRM WITH SWAP PRICING SCHEME (7/19/19)
  4. SEC FAULTS ADVISER PLATFORM FOR FAILING TO PROMOTE FUNDS THAT DID NOT SHARE REVENUE (8/6/19)
  5. CHIEF COMPLIANCE OFFICER HELPS FIRM AVOID BIGGER FINE (9/16/19)