Top 5 Regulatory Alerts – May 2016

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

1. SEC’s Enforcement Director Targets Private Equity (5/18/16)
2. Massachusetts Sues Large Custody Bank for Over-Pricing Out-of-Pocket Expenses (5/12/16)
3. DoL Extracts $10 Million Settlement from Investment Manager (5/9/16)
4. Survey Reports High CCO Turnover (5/2/16)
5. BD Fined $17 Million and Compliance Officer Fined and Suspended for AML Monitoring Weaknesses (5/19/16)

 

Most Read – May 2016

1. Large Investment Manager to Pay $1.5 Million for Failing to Supervise Consultant (5/31/16)
2. SEC’s Enforcement Director Targets Private Equity (5/18/16)
3. BD Fined $17 Million and Compliance Officer Fined and Suspended for AML Monitoring Weaknesses (5/19/16)
4. DoL Extracts $10 Million Settlement from Investment Manager (5/9/16)
5. SEC Chair Expects ETF Regulation (5/23/16)