Top 5 Regulatory Alerts – February 2016

Here are our Top 5 Regulatory Alerts for February 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 – February 2016

1. SEC Chair Wants Third Party Compliance Reviews of Advisers (2/23/16)
2. FINRA Conducting Culture Sweep (2/19/16)
3. Adviser Sanctioned for Failing to Verify Third Party Model’s Performance (2/24/16)
4. Founder/CEO Resigns over Compliance Failures (2/22/16)
5. SEC Chair White Says the SEC is Investigating Accredited Investor Due Diligence (2/9/16)

Most Read – February 2016

1. Founder/CEO Resigns over Compliance Failures (2/22/16)
2. Adviser Sanctioned for Failing to Verify Third Party Model’s Performance (2/24/16)
3. SEC Chair White Says the SEC is Investigating Accredited Investor Due Diligence (2/9/16)
4. SEC Chair Wants Third Party Compliance Reviews of Advisers (2/23/16)
5. FINRA Conducting Culture Sweep (2/19/16)