Top 5 Regulatory Alerts – December 2016

Here are our Top 5 Regulatory Alerts for December 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 – December 2016
- SUPREME COURT EXPANDS INSIDER TRADING LIABILITY (12/8/16)
- ETF SPONSOR WILL PAY $20 MILLION TO SETTLE CHARGES IT OVERSTATED PERFORMANCE (12/5/16)
- HEDGE FUND MANAGER CHARGED WITH CONCEALING LIQUIDITY CRISIS (12/20/16)
- BD FINED $16.5 MILLION FOR UNDER-RESOURCING AML COMPLIANCE (12/6/16)
- PRIVATE EQUITY FIRM FAILED TO OBTAIN APPROVAL FOR CO-INVESTMENTS (12/15/16)
Most Read – December 2016
- BD FINED $16.5 MILLION FOR UNDER-RESOURCING AML COMPLIANCE (12/6/16)
- SEC ENFORCEMENT DIRECTOR STRESSES INDIVIDUAL LIABILITY IN FCPA CASES (12/12/16)
- SEC IMPOSES $1.4 MILLION FINE FOR WHISTLEBLOWER RULE VIOLATIONS (12/21/16)
- FINRA FINES 12 FIRMS $14.4 MILLION FOR FAILING TO MAINTAIN DATA IN PROPER ELECTRONIC FORMAT (12/23/16)
- PRIVATE EQUITY FIRM FAILED TO OBTAIN APPROVAL FOR CO-INVESTMENTS (12/15/16)
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