• Skip to primary navigation
  • Skip to main content
Logo
Open search bar
  • About
    • Todd Cipperman
    • Why Choose Us
  • Services
    • Money Managers
    • Registered Funds
    • Private Equity
    • Broker-Dealers
    • CyberSecure - Funds
  • In The News
  • Outsourced CCO
  • Client Engagement
  • Resources
    • Helpful Information
    • Regulatory Exams
    • Executive Interviews
    • Blog
    • Podcasts & Videos
    • Best Practices
  • Contact Us

Our Take Blog

Home
Our Take Blog
Top 15 Regulatory Alerts for 2015

Top 15 Regulatory Alerts for 2015

 

During 2015, we sent out 193 Regulatory Alerts to our 2700+ 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 and Top 5 monthly lists).  We look forward to more regulatory discussion during 2015.

 

Top 15:

  1. SEC Releases 2015 Examination Priorities (1/13/15)
  2. DoL Proposal Imposes Fiduciary Standard on Retirement Advisers (4/15/15)
  3. Fund Sponsor to Pay $40 Million for Using Fund Assets to Pay for Distribution (9/22/15)
  4. CCO Sanctioned and Firm Fined $12 Million for Allowing PM Conflict of Interest (4/21/15)
  5. Private Equity Firm Pays $20 Million Fine for Compliance Shortfalls (8/11/15)
  6. SEC Punishes RIA for Failing to Stop Cyber-Attack  (9/24/15)
  7. SEC Calls for Form PF Data about SMAs and More Fund Holdings Reporting (5/21/15)
  8. SEC Will Recommend Requiring Third Party Compliance Reviews for RIAs (10/27/15)
  9. SEC Proposes Restricting Derivatives for Registered Funds (12/14/15)
  10. Registered Alts Manager Disciplined for Violating Investment Company Act (2/13/15)
  11. SEC/FINRA Issues Alert on Robo-Advisors (5/11/15)
  12. SEC Sanctions and Fines Mutual Fund Independent Directors and Sponsor for Inadequate Contract Review Process (6/18/15)
  13. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)
  14. Fund Administrator Charged for Weak Compliance Procedures (7/2/15)
  15. Private Equity Firm to Pay $39 Million for Inadequate Fee Disclosures (10/8/15)

 

 

Most read:

  1. SEC Will Recommend Requiring Third Party Compliance Reviews for RIAs (10/27/15)
  2. SEC Prosecutes RIA for Weak Compliance Program (1/22/15)
  3. Cybersecurity Procedures Recommendations from SEC Staff (4/29/15)
  4. SEC Releases 2015 Examination Priorities (1/13/15)
  5. Adviser and Principals Fined and Censured for Misleading Marketing Materials (12/1/15)
  6. Inadequate Compliance Program Brings Down PE Firm (11/24/15)
  7. SEC Offers Guide to Outsourcing Compliance (11/10/15)
  8. Manager-of-Managers Will Pay $16.5 Million for Failing to Verify Performance (11/17/15)
  9. SEC Gets Court Order to Obtain Emails from ISP (12/15/15)
  10. SEC Official Outlines CCO Job Requirements (10/23/15)
  11. Firm Fined $2.6 Million for Failing to Maintain Emails in Proper Format (11/30/15)
  12. Death Penalty for Fund Manager that Charged Overhead Expenses to Funds (4/30/15)
  13. SEC Alleges that CCO Failed to Verify AUM and Filed False ADV (4/14/15)
  14. CCO Suspended and Fined for AML Failures (1/15/15)
  15. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)
Back to Top
logo
480 E. Swedesford Road, Suite 220, Wayne, PA 19087
610-687-5320
LinkedIn Twitter
© 2020 Marlivia Properties LLC