Top 5 Regulatory Alerts – April 2016

 

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

1. Massachusetts: Robos Do Not Meet Fiduciary Duties (4/13/16)
2. ETF Authorized Participant Fined $675,000 (4/5/16)
3. SEC Chair Acknowledges Compliance Outsourcing (4/20/16)
4. Firm Principals Prosecuted for CCO’s Wrongdoing (4/28/16)
5. SEC Affirms Industry Bar and Financial Penalties against Chief Compliance Officer  (4/4/16)

 

Most Read – April 2016

1. SEC Chair Acknowledges Compliance Outsourcing (4/20/16)
2. Firm Principals Prosecuted for CCO’s Wrongdoing (4/28/16)
3. SEC Affirms Industry Bar and Financial Penalties against Chief Compliance Officer  (4/4/16)
4. SEC Allows Adviser to Purchase Fractional Shares Directly from Client Accounts (4/19/16)
5. ETF Authorized Participant Fined $675,000 (4/5/16)