Top 5 Regulatory Alerts – March 2014
Here are our Top 5 Regulatory Alerts for March 2014, 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 – March 2014
- SEC
Official Targets Dual Registrants (3/19/14) - Cost
of Compliance Increasing with Regulatory Focus on Culture (3/26/14) - Large
Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance
(3/13/14) - Supreme
Court Extends Whistleblower Protection to Mutual Fund Service Providers
(3/5/14) - FINRA
Adopts New Supervisory Rules; Guidance on Email Reviews (3/24/14)
Most Read – March 2014
- Investment
Management Division Lists 2014 Priorities (3/28/14) - Cost
of Compliance Increasing with Regulatory Focus on Culture (3/26/14) - FINRA
Adopts New Supervisory Rules; Guidance on Email Reviews (3/24/14) - Large
Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance
(3/13/14) - SEC
Official Targets Dual Registrants (3/19/14)
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