Top 5 Regulatory Alerts – November 2015
Here are our Top 5 Regulatory Alerts for November 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 – November 2015
- SEC Will Prosecute CCOs that Cross a “Clear Line” (11/6/15)
- SEC Offers Guide to Outsourcing Compliance (11/10/15)
- Manager-of-Managers Will Pay $16.5 Million for Failing to Verify Performance (11/17/15)
- SEC Proposes Dark Pool Registration and Disclosure (11/19/15)
- PE Firm Will Pay $10 Million for Failing to Disclose Related Party Consulting Contracts (11/4/15)
Most Read – November 2015
- Inadequate Compliance Program Brings Down PE Firm (11/24/15)
- SEC Offers Guide to Outsourcing Compliance (11/10/15)
- Manager-of-Managers Will Pay $16.5 Million for Failing to Verify Performance (11/17/15)
- PE Firm Failed to Properly Disclose Compliance Expenses Charged to Funds (11/9/15)
- SEC Will Prosecute CCOs that Cross a “Clear Line” (11/6/15)