Home » Compliance Blog » regulatory review

Tag: regulatory review

Top 20 Regulatory Alerts – 2016


It has been a busy regulatory year.  Over the course of 2016, we have sent nearly 200 Regulatory Alerts to the investment management community.  We have reviewed them all and present the following list of the most significant Regulatory Alerts of 2016.  Feel free to let us know if you (dis)agree.


  1. SEC Filed Record Number Of Enforcement Cases In Fiscal 2016 (10/13/16)
  2. SEC Exam Priorities Letter Focuses on ETFs, Retirement Advice and Private Funds (1/12/16)
  3. SEC’s New Form ADV Will Require Detailed Information on Separately Managed Accounts (8/31/16)
  4. SEC’s Enforcement Director Targets Private Equity (5/18/16)
  5. Massachusetts: Robos Do Not Meet Fiduciary Duties (4/13/16)
  6. Federal Court Rules that CCO Liable for AML Financial Penalties (1/19/16)
  7. SEC Fines 13 Advisers for Failing to Verify Third Party’s Performance (8/29/16)
  8. SEC Awards $700,000 Whistleblower Award to Company Outsider (1/26/16)
  9. Large BD/RIA Fined $1 Million for Cybersecurity Breach (6/9/16)
  10. Founder/CEO Resigns over Compliance Failures (2/22/16)
  11. Fund Administrator Charged/Fined for Causing Client’s Securities Fraud (6/20/16)
  12. Large Audit Firm Got Too Close With Its Clients (9/20/16)
  13. SEC Affirms Industry Bar and Financial Penalties against Chief Compliance Officer  (4/4/16)
  14. SEC Wallops Large Private Equity Firm with $52.7 Million in Penalties (8/24/16)
  15. SEC Chair Acknowledges Compliance Outsourcing (4/20/16)
  16. Supreme Court Expands Insider Trading Liability (12/8/16)
  17. GC/CCO Fined and Barred for Failing to Disclose Unauthorized Use of Funds (7/12/16)
  18. ETF Sponsor Will Pay $20 Million To Settle Charges It Overstated Performance (12/5/16)
  19. SEC Proposes Rule Requiring Advisers to Adopt Business Continuity Plans (6/29/16)
  20. SEC Chair Calls For “Zero Tolerance” Enforcement (11/28/16)