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
- SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
- Supreme Court Rules that Fiduciaries Have Continuing Duty to Monitor Fund Share Classes (5/19/15)
- SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)
- More Enforcement Actions Looming for Private Equity (5/18/15)
- Firm Pays $11.7 Million and Hires More than 200 Compli-Pros to Settle Charges (5/8/15)
Most Read – May 2015
- Firm Pays $11.7 Million and Hires More than 200 Compli-Pros to Settle Charges (5/8/15)
- RIA Execs Fined and Censured for Ignoring Compliance Program (5/20/15)
- SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
- Supreme Court Rules that Fiduciaries Have Continuing Duty to Monitor Fund Share Classes (5/19/15)
- SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)