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Top 5 Regulatory Alerts – March 2014

Top 5 Regulatory Alerts – March 2014

Here are our Top 5 Regulatory Alerts for March 2014, ranked by
significance.  We have also included the Top 5 most read Alerts (other
than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – March 2014

  1. SEC
    Official Targets Dual Registrants
    (3/19/14)
  2. Cost
    of Compliance Increasing with Regulatory Focus on Culture
    (3/26/14)
  3. Large
    Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance

    (3/13/14)
  4. Supreme
    Court Extends Whistleblower Protection to Mutual Fund Service Providers

    (3/5/14)
  5. FINRA
    Adopts New Supervisory Rules; Guidance on Email Reviews
    (3/24/14)

 

Most Read – March 2014

  1. Investment
    Management Division Lists 2014 Priorities
    (3/28/14)
  2. Cost
    of Compliance Increasing with Regulatory Focus on Culture
    (3/26/14)
  3. FINRA
    Adopts New Supervisory Rules; Guidance on Email Reviews
    (3/24/14)
  4. Large
    Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance

    (3/13/14)
  5. SEC
    Official Targets Dual Registrants
    (3/19/14)

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