Top 5 Regulatory Alerts – January 2016

Here are our Top 5 Regulatory Alerts for January 2016, 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 – January 2016

1. SEC Exam Priorities Letter Focuses on ETFs, Retirement Advice and Private Funds (1/12/16)
2. FINRA Focuses on Compliance Culture in 2016 Exam Priorities Letter (1/6/16)
3. SEC Staff Demands Heightened Board Scrutiny of Servicing Fees (1/7/16)
4. Federal Court Rules that CCO Liable for AML Financial Penalties (1/19/16)
5. SEC Awards $700,000 Whistleblower Award to Company Outsider (1/26/16)

Most Read – January 2016

1. SEC Orders Adviser to Hire Dedicated CCO (1/15/16)
2. Federal Court Rules that CCO Liable for AML Financial Penalties (1/19/16)
3. SEC Exam Priorities Letter Focuses on ETFs, Retirement Advice and Private Funds (1/12/16)
4. Large Investment Bank Fined $15 Million for Failed Locates and Misleading the SEC Exam Staff (1/27/16)
5. FINRA Focuses on Compliance Culture in 2016 Exam Priorities Letter (1/6/16)