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Top 5 Regulatory Alerts – January 2019

Here are our Top 5 Regulatory Alerts for January 2019, ranked by significance.  We have also included the Top 5 most read Alerts.

Top 5 Regulatory Alerts – January 2019

  1. FINRA EXAMINATION PRIORITIES LETTER FOCUSES ON REGTECH AND DIGITAL ASSETS (1/23/19)
  2. ROBO FALSELY COMPARED PERFORMANCE WITH OTHER ROBOS (1/9/19)
  3. PRIVATE EQUITY FIRM OVERCHARGED CLIENTS FOR 16 YEARS (1/3/19)
  4.  RIA PLATFORM WILL PAY $1.1 MILLION TO SETTLE FUND SHARE CLASS CHARGES (1/14/19)
  5. FINRA REPORT RECOMMENDS CYBERSECURITY BEST PRACTICES (1/8/19)

 Most Read – January 2019

  1. ACCOUNTING FIRM CAUSED CUSTODY RULE VIOLATIONS (1/29/18)
  2. FINRA WHACKS LARGE BD WITH $10 MILLION FINE FOR AML COMPLIANCE FAILURES (1/25/19)
  3. FINRA REPORT RECOMMENDS CYBERSECURITY BEST PRACTICES (1/8/19)
  4. RIA PLATFORM WILL PAY $1.1 MILLION TO SETTLE FUND SHARE CLASS CHARGES
  5. PRIVATE EQUITY FIRM OVERCHARGED CLIENTS FOR 16 YEARS (1/3/19)