Top 5 Regulatory Alerts – October 2013

Here are our Top 5 Regulatory Alerts for October 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 – October 2013

1. Higher
   Cost Share Class Violated Best Execution (10/3/13)
2. SEC
   Staff Defines Compliance vs. Supervision in FAQ (10/2/13)
3. SEC
   Will Target Gatekeepers Including Independent Directors and Auditors
   (10/11/13)
4. Hedge
   Fund Firms Spend at least $700,000 on Compliance (10/21/13)
5. SEC’s
   Compliance Initiative Results in Actions against 3 Firms (10/24/13)

Most Read – October 2013

1. SEC’s
   Compliance Initiative Results in Actions against 3 Firms (10/24/13)
2. FINRA
   Issues Report on Conflicts of Interest (10/22/13)
3. SEC
   Staff Defines Compliance vs. Supervision in FAQ (10/2/13)
4. SEC
   Official Describes “Compliance Initiative” (10/15/13)
5. Three
   Firms Disciplined for Custody and Compliance Violations (10/29/13)