Top 10 Regulatory Alerts – Compliance and Operations 2008
We continue our look back on the most significant regulatory developments for 2008. Yesterday, we delivered the Top 10 Regulatory Alerts – Funds, and tomorrow we will deliver the Top 10 Regulatory Alerts – Distribution and Broker-Dealers. Today, we list the Top 10 Regulatory Alerts – Compliance and Operations. For your convenience, the date of each Alert is included so that you can go back and read it again on our blog: blog.cipperman.com.
Top 10 Regulatory Alerts – Compliance and Operations 2008
- SEC OCIE Releases Core Initial Information Request List for Adviser Exams (11/14/08)
- SEC Staff Issues Compliance Alert to Advisers, Funds, BDs (7/23/08)
- SEC Enforcement Director Offers Guidance to CCOs to Avoid Personal Liability (6/11/08)
- SEC Warns CEOs Not to Cut Compliance (11/3/08)
- Schapiro Calls for New Financial Regulatory System (10/28/08)
- Treasury Releases Regulatory Reform Recommendations (4/7/08)
- SEC Publishes Enforcement Manual (10/10/08)
- FASB Staff Provides Valuation Guidance For Securities In Inactive Markets (10/8/08)
- Bailout Bill Requires Cost Basis Reporting (10/6/08)
- SEC Extends Short-Selling Limitations Through October 17 and Beyond (10/3/08)
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