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Top 15 Regulatory Alerts for 2014

Top 15 Regulatory Alerts for 2014

During 2014, we sent out nearly 200 Regulatory Alerts to our 2300+ subscribers.  From that list, we have compiled “Our Take” of the 15 most significant Alerts.  We have also included the Top 15 most read Alerts (excluding our ever-popular Best of the Web, Top 5 monthly lists, and Compliance Minute).  We look forward to more regulatory discussion during 2015.

 

Top 15:

  1. SEC Releases 2014 Exam Priorities (1/10/14)
  2. SEC Chairman Stresses Importance of Criminal Prosecutions (4/8/14)
  3. SEC Will Conduct Cybersecurity Sweeps (4/21/14)
  4. SEC Will Focus on Compliance in New Exam Initiative (2/24/14)
  5. OCIE Chief Criticizes Private Equity Compliance Practices (5/7/14)
  6. FINRA Seeks to Revolutionize Regulation with CARDS (5/22/14)
  7. SEC Filed Record Number of Enforcement Cases in 2014 (10/17/14)
  8. Private Equity Firm Violated Pay-to-Play and Registration Rules (6/23/14)
  9. WSJ Article on CCO Outsourcing (7/18/14)
  10. $15 Million Fine for Failing to Adopt Advisor Compliance Procedures (9/25/14)
  11. SEC Slams HFT Firm with $16 Million Penalty for Net Capital Calculations (9/18/14)
  12. Champ Warns Registered Alts to Upgrade Compliance (10/2/14)
  13. Firms Claiming GIPS Compliance Must File Notice with CFA Institute (10/24/14)
  14. ETF Firm Will Pay $35 Million for Using Hypothetical Backtested Performance Data  (12/23/14)
  15. NYS Attorney General Sues Large Bank for Dark Pool Fraud (6/26/14)

 

Most read:

  1. WSJ Article on CCO Outsourcing (7/18/14)
  2. CCO Punished for Code of Ethics Violations (6/13/14)
  3. SEC Bars Adviser Who Failed to Disclose Astrology-Based Investment Strategy (5/15/14)
  4. SEC Levies $2.6 Million in Penalties for Beneficial Holdings Reporting Failures (9/11/14)
  5. Head of Investment Management Warns about Alt Mutual Funds  (7/8/14)
  6. BD to Pay $850,000 for Hanging Licenses (5/19/14)
  7. WSJ Reports that SEC Has Won Every ALJ Case in Past 12 Months (10/27/14)
  8. CCO Sanctioned for Misleading ADV (7/10/14)
  9. Large BD Charged with Conflicted Compliance and Supervisory Controls (8/19/14)
  10. Director of Investment Management Targets Adviser/Sub-Adviser Fee Splits (7/14/14)
  11. Nineteen Firms to Pay Over $9 Million for Rule 105 Violations (9/17/14)
  12. SEC Bars Auditor for Failing Rotation Requirement (10/28/14)
  13. SEC Uses Form PF Data for Examinations and Enforcement (8/18/14)
  14. FINRA Releases Order Routing and Execution Quality Exam Letter (7/9/14)
  15. CCO Suspended and Firm Fined $475,000 for AML Violations (1/30/14)