The year 2018 was a surprise in many ways. There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However, it was business as usual at the SEC as they focused on a more rigorous exam schedule and record numbers of enforcement actions.
What we believe to be the top alerts issued for 2018 are shown below just in case you missed any of them.
Top 10 Regulatory Alerts for 2018
- SEC RAISES CRYPTOCURRENCY FUND QUESTIONS
- SEC FILED 32% MORE ENFORCEMENT CASES AGAINST ADVISERS IN FISCAL 2018
- SEC PROPOSES BROKER BEST INTEREST STANDARD
- INTERNET COMPANY PAYS $35 MILLION FOR FAILING TO TIMELY DISCLOSE HACKING OF CUSTOMER INFO
- CCOS LIABLE FOR FAILING TO “MEANINGFULLY” IMPLEMENT COMPLIANCE PROGRAMS
- SEC WANTS ADVISERS TO ENHANCE MONITORING OF MESSAGING SYSTEMS
- SEC PROPOSES ETF RULE
- SEC EXAMINING REGISTERED FUNDS AND ETFS FOR OVERSIGHT, POLICIES, AND CONFLICTS
- ADVISERS FAILED BEST EXECUTION COMPLIANCE OBLIGATIONS
- SEC CHARGES VIOLATIONS OF TESTIMONIAL RULE
We help broker-dealers, advisors, investment firms, and hedge funds meet regulatory requirements, improve their compliance programs and increase ROI. We provide customized services to get your firm up and running, on-going compliance assistance, workflow software solutions and much more to keep your compliance program on track.
For more information about Red Oak Compliance software and services solutions, partnership and/or integration opportunities or to schedule a demonstration, please visit us online, email us firstname.lastname@example.org or give us a call at 888-302-4594.
Our blog posts will resume the first week in January to help keep you up to date on what is happening that could affect your business.
From everyone at Red Oak, we hope you have a Happy and Joyous New Year!