Top 5 Regulatory Alerts for May
Here are our top 5 Regulatory Alerts for May. You can read further at blog.cipperman.com.
- NYS’s Highest Court Rules that Compliance Officers Can’t Sue for Wrongful Termination (5/17/12)
- OCIE’s Deputy Director Announces Exam Sweep of Private Fund Advisers (5/16/12)
- Weak Compliance Function Results in $3.1 Million Payment and Bar for Hedge Fund Sponsor (5/30/12)
- FINRA Says that Brokers Must Put Clients’ Interests First (5/23/12)
- Side-by-Side Management Leads to Charges against Fund Manager (5/11/12)