Top 5 Regulatory Alerts – May 2015

Here are our Top 5 Regulatory Alerts for May 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 – May 2015

1. SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
2. Supreme Court Rules that Fiduciaries Have Continuing Duty to Monitor Fund Share Classes (5/19/15)
3. SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)
4. More Enforcement Actions Looming for Private Equity (5/18/15)
5. Firm Pays $11.7 Million and Hires More than 200 Compli-Pros to Settle Charges (5/8/15)

Most Read – May 2015

1. Firm Pays $11.7 Million and Hires More than 200 Compli-Pros to Settle Charges (5/8/15)
2. RIA Execs Fined and Censured for Ignoring Compliance Program (5/20/15)
3. SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
4. Supreme Court Rules that Fiduciaries Have Continuing Duty to Monitor Fund Share Classes (5/19/15)
5. SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)