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Top 20 Regulatory Alerts – 2017

A year ago, nobody really knew what would happen in the investment management regulatory world.  We have sought to inform and guide with our (nearly) daily updates on significant actions, statements, proposals, and cases.  We have culled through all of the Regulatory Alerts that we sent this year.  Below is our list of the Top 20 Alerts of 2017.  You can decide for yourself by visiting our blog at https://cipperman.com/blog/.  It all starts again in a couple of days…

 

  1. FIDUCIARY RULE GOES LIVE ON JUNE 9 WITHOUT SPECIFIC COMPLIANCE REQUIREMENTS (5/25/17)
  2. SEC PUBLISHES LIST OF MOST CITED EXAM DEFICIENCIES (2/9/17)
  3. FINRA IMPOSED $80 MILLION MORE IN FINES IN 2016 (7/6/17)
  4. SEC SWEEP YIELDS CYBERSECURITY BEST PRACTICES (8/9/17)
  5. SEC CHAIRMAN RE-COMMITS TO EXAMINATIONS AND ENFORCEMENT (6/28/17)
  6. SUPREME COURT LIMITS SEC DISGORGEMENT (6/6/17)
  7. LARGE PRIVATE EQUITY FIRM TO PAY $12.8 MILLION FOR ACCELERATED PORTFOLIO MONITORING FEES (12/26/17)
  8. ADVISER FAILED BEST EXECUTION WHEN RECOMMENDING 12B-1 FUND CLASS (4/5/17)
  9. SEC ENFORCEMENT DIVISION TARGETS FINANCIAL EXECUTIVES (11/17/17)
  10. SEC’S CYBER UNIT STOPS VIRTUAL CURRENCY OFFERING (12/5/17)
  11. LACK OF COMPLIANCE INFRASTRUCTURE COSTS PRIVATE EQUITY FIRM AND PRINCIPALS (6/30/17)
  12. CCO BARRED AND FINED $250,000 FOR AML COMPLIANCE BREAKDOWNS (5/9/17)
  13. SEC ISSUES ROBO GUIDANCE ON DISCLOSURES, SUITABILITY, AND COMPLIANCE (2/24/17)
  14. SEC WARNS ADVISERS ABOUT MISLEADING ADVERTISING PRACTICES (9/18/17)
  15. GENERAL COUNSEL AWARDED $7.9 MILLION FOR WRONGFUL WHISTLEBLOWER TERMINATION (2/13/17)
  16. SEC STAFF PUBLISHES 2017 EXAM PRIORITIES (1/13/17)
  17. FINRA POSTS SOCIAL MEDIA AND DIGITAL CONTENT GUIDANCE (5/10/17)
  18. SEC FINES AND BARS CCO FOR IGNORING COMPLIANCE PROBLEMS (12/27/17)
  19. SEC CREATES CYBER-UNIT (9/26/17)
  20. PRIVATE COMPANY AND CEO MISLED INVESTORS ABOUT COMPLIANCE FAILURES (11/3/17)