Top 5 Regulatory Alerts – April 2015
Here are our Top 5 Regulatory Alerts for April 2015, 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 – April 2015
- CCO Sanctioned and Firm Fined $12 Million for Allowing PM Conflict of Interest (4/21/15)
- Cybersecurity Procedures Recommendations from SEC Staff (4/29/15)
- DoL Proposal Imposes Fiduciary Standard on Retirement Advisers (4/15/15)
- SEC Staff Addresses Board Role in Valuing Securities (4/27/15)
- Firms Fined $700,000 for Inadequate Review of Consolidated Statements (4/1/15)
Most Read – April 2015
- Cybersecurity Procedures Recommendations from SEC Staff (4/29/15)
- SEC Alleges that CCO Failed to Verify AUM and Filed False ADV (4/14/15)
- CCO Sanctioned and Firm Fined $12 Million for Allowing PM Conflict of Interest (4/21/15)
- Firms Fined $700,000 for Inadequate Review of Consolidated Statements (4/1/15)
- Compliance Officer Receives $1.4-$1.6 Million Whistleblower Award (4/23/25)