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
- Hedge
Fund Founder/Owner Charged with Failure to Supervise PMs (7/22/13) - SEC
Allows Private Fund General Solicitation with Conditions (7/11/13) - CCO
Suspended for Failing to Implement Custody Checks (7/30/13) - SEC
and 28 Countries Sign MOUs Allowing Cross-Border Exams (7/23/13) - Supremes
Uphold Arbitration Clauses that Waive Class Actions (7/1/13)
Most Read – July 2013
- CCO
Suspended for Failing to Implement Custody Checks (7/30/13) - SEC
Allows Private Fund General Solicitation with Conditions (7/11/13) - Compliance
Practices Survey Shows Insufficient Resources Devoted to Compliance
(7/15/13) - SEC
Study Highlights Dominance of Private Placement Market (7/16/13) - FINRA
Publishes Sanction Guidelines (7/29/13)
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