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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)

Top 5 Regulatory Alerts – January 2018

Here are our Top 5 Regulatory Alerts for January 2018, ranked by significance.  We have also included the Top 5 most read Alerts.

 

Top 5 Regulatory Alerts – January 2018

  1. FINRA RELEASES ANNUAL EXAM PRIORITIES LETTER (1/9/18)
  2. SEC RAISES CRYPTOCURRENCY FUND QUESTIONS (1/22/18)
  3. FUND ADMINISTRATOR PAYS FOR CLIENT’S FRAUD (1/24/18)
  4. BANK-AFFILIATED BD HIT WITH A $13 MILLION FINE FOR AML MONITORING FLAWS (1/12/18)
  5. SEC FINES AND BARS FUND MANAGER IN SERIES TRUST (1/8/18)

 

Most Read – January 2018

  1. SEC FINES AND BARS FUND MANAGER IN SERIES TRUST (1/8/18)
  2. FUND ADMINISTRATOR PAYS FOR CLIENT’S FRAUD (1/24/18)
  3. FINRA RELEASES ANNUAL EXAM PRIORITIES LETTER (1/9/18)
  4. SEC FINES AND BARS TWO ADVISERS FOR SELLING AWAY PRIVATE EQUITY FUND (1/16/18)
  5. SEC PROSECUTES DE-REGISTERED ADVISER FOR PRIOR COMPLIANCE FAILURES (1/4/18)