Top 5 Regulatory Alerts – July 2013

Here are our Top 5 Regulatory Alerts for July 2013, ranked by
significance.  We have also included the Top 5 most read Alerts (other
than Top 5 and Best of the Web).

Top 5 Regulatory Alerts – July 2013

1. Hedge
   Fund Founder/Owner Charged with Failure to Supervise PMs (7/22/13)
2. SEC
   Allows Private Fund General Solicitation with Conditions (7/11/13)
3. CCO
   Suspended for Failing to Implement Custody Checks (7/30/13)
4. SEC
   and 28 Countries Sign MOUs Allowing Cross-Border Exams (7/23/13)
5. Supremes
   Uphold Arbitration Clauses that Waive Class Actions (7/1/13)

Most Read – July 2013

1. CCO
   Suspended for Failing to Implement Custody Checks (7/30/13)
2. SEC
   Allows Private Fund General Solicitation with Conditions (7/11/13)
3. Compliance
   Practices Survey Shows Insufficient Resources Devoted to Compliance
   (7/15/13)
4. SEC
   Study Highlights Dominance of Private Placement Market (7/16/13)
5. FINRA
   Publishes Sanction Guidelines (7/29/13)