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Top 5 Regulatory Alerts – July 2013

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)

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