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Top 5 Regulatory Alerts – August-September 2018

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

 

Top 5 Regulatory Alerts – August-September 2018

  1. LARGE ASSET MANAGER PAYS $97 MILLION FOR OVER-RELYING ON FAULTY QUANT MODELS (8/28/18)
  2. HACKERS IMPERSONATED REPS TO GAIN ACCESS TO CLIENT INFO (9/27/18)
  3. BROKER/CUSTODIAN FAILED TO FILE SARS FOR TERMINATED ADVISERS (9/25/18)
  4. PRIVATE EQUITY MANAGER LOWBALLED PURCHASE OFFER TO LPS (9/10/18)
  5. GLOBAL FIRM GUTTED VALUATION CONTROL FUNCTION (8/17/18)

 

Most Read – August-September 2018

  1. SEC WITHDRAWS LETTERS THAT ALLOWED ADVISERS TO RELY ON PROXY VOTING FIRMS (9/18/18)
  2. ASSET MANAGER FINED $1.9 MILLION OVER HYPOTHETICAL BACK-TESTED PERFORMANCE (9/5/18)
  3. CCO BLAMED FOR SIGNING CERTIFICATIONS THAT FACILITATED UNLAWFUL SECURITIES LENDING (8/2/18)
  4. COMPLIANCE FAILURES LEAD TO FIRM’S DEMISE (8/27/18)
  5. ADVISER FAILED TO STOP RADIO HOST FROM GIVING TESTIMONIALS (9/24/18)

Top 5 Regulatory Alerts – May 2017

Here are our Top 5 Regulatory Alerts for May 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – May 2017

  1. FIDUCIARY RULE GOES LIVE ON JUNE 9 WITHOUT SPECIFIC COMPLIANCE REQUIREMENTS (5/25/17)
  2. SEC WARNS ADVISERS AND BROKER-DEALERS TO PROTECT AGAINST RANSOMWARE (5/18/17)
  3. FINRA POSTS SOCIAL MEDIA AND DIGITAL CONTENT GUIDANCE (5/10/17)
  4. WRAP SPONSOR PAYS $97 MILLION FOR INADEQUATE DUE DILIGENCE (5/11/17)
  5. CCO BARRED AND FINED $250,000 FOR AML COMPLIANCE BREAKDOWNS (5/9/17)

 

Most Read – May 2017

  1. SEC WARNS ADVISERS AND BROKER-DEALERS TO PROTECT AGAINST RANSOMWARE (5/18/17)
  2. CCO BARRED AND FINED $250,000 FOR AML COMPLIANCE BREAKDOWNS (5/9/17)
  3. MUTUAL FUND MANAGER FINED AND BARRED FROM INDUSTRY FOR INVESTMENT, DISCLOSURE, AND FEE VIOLATIONS (5/30/17)
  4. WRAP SPONSOR PAYS $97 MILLION FOR INADEQUATE DUE DILIGENCE (5/11/17)
  5. FINRA POSTS SOCIAL MEDIA AND DIGITAL CONTENT GUIDANCE (5/10/17)