Top 5 Regulatory Alerts – October 2016

Top 5 Regulatory Alerts – October 2016

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

1. SEC FILED RECORD NUMBER OF ENFORCEMENT CASES IN FISCAL 2016 (10/13/16)
2. SEC ADOPTS LIQUIDITY RISK MANAGEMENT PROGRAM RULE (10/14/16)
3. COMPLIANCE OUTSOURCING HAS DOUBLED IN LAST 3 YEARS (10/18/16)
4. SEC RISK ALERT WARNS ABOUT WHISTLEBLOWER POLICIES AND PRACTICES (10/26/16)
5. LARGE HEDGE FUND MANAGER AND CEO TO PAY $413 MILLION TO SETTLE BRIBERY CHARGES (10/4/16)

  

Most Read – October 2016

1. RIA FAILED TO CONDUCT ANNUAL COMPLIANCE REVIEWS AND APPOINTED ADMIN AS CCO (10/7/16)
2. SEC CHIEF OF STAFF OUTLINES COMPLIANCE CHALLENGES (10/25/16)
3. MUTUAL FUND FIRM TO PAY NEARLY $22 MILLION TO FIX NAV ERRORS (10/20/16)
4. LARGE HEDGE FUND MANAGER AND CEO TO PAY $413 MILLION TO SETTLE BRIBERY CHARGES (10/4/16)
5. ADVISER AGREES TO HIRE EXPERIENCED CCO TO SETTLE COMPLIANCE CHARGES (10/3/16)