Home » December 2019 » Archives for December 31, 2019

Day: December 31, 2019

Top 5 Regulatory Alerts – Q4 2019

Here are our Top 5 Regulatory Alerts for Q4 2019 (October-December), ranked by significance.  We have also included the Top 5 most read Alerts.

Top 5 Regulatory Alerts – Q4 2019

  1. SEC ENFORCEMENT DIVISION HITS NEW HIGH WITH $4.3 BILLION IN MONETARY PENALTIES IN FISCAL 2019 (11/7/19)
  2. SEC PROPOSES NEW INVESTMENT ADVISER ADVERTISING RULE (11/5/19)
  3. INVESTMENT ADVISERS INCLUDED AS ACCREDITED INVESTORS IN SEC PROPOSAL (12/20/19)
  4. SEC FINDS PERVASIVE REGULATORY FAILURES BY REGISTERED FUNDS AND BOARDS (11/12/19)
  5. FINRA RELEASES EXAM FINDINGS (10/23/19)

 Most Read – Q4 2019

  1. SEC PROPOSES NEW INVESTMENT ADVISER ADVERTISING RULE (11/5/19)
  2. SEC WARNS FUND INDUSTRY ABOUT INACCURATE PERFORMANCE AND FEE DISCLOSURES (10/8/19)
  3. ADVISER AND CCO SON WERE UNAWARE OF ADVISERS ACT (12/2/19)
  4. CHIEF COMPLIANCE OFFICER, A FORMER SEC STAFFER, INDICTED FOR STEALING CONFIDENTIAL INVESTIGATION INFORMATION (10/24/19)
  5. SEC STAFF SUGGESTS THAT ADVISERS SHOULD REBATE REVENUE SHARING (10/21/19)