Top 5 Regulatory Alerts – July-August 2017

Here are our Top 5 Regulatory Alerts for July-August 2017, 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 – July-August 2017
- FINRA IMPOSED $80 MILLION MORE IN FINES IN 2016 (7/6/17)
- SEC SWEEP YIELDS CYBERSECURITY BEST PRACTICES (8/9/17)
- PE FIRM PAYS OVER $1.6 MILLION FOR IMPROPER EXPENSE ALLOCATION (8/18/17)
- EMERGING HEDGE FUNDS SPEND 20% ON COMPLIANCE BUT COULD SAVE THROUGH OUTSOURCING (7/11/17)
- REAL ESTATE INTERESTS ARE “SECURITIES” TRIGGERING FUND REGISTRATION (7/17/17)
Most Read – July-August 2017
- SEC SWEEP YIELDS CYBERSECURITY BEST PRACTICES (8/9/17)
- ADVISER CHARGED WITH DEFRAUDING PROFESSIONAL ATHLETE (8/29/17)
- LARGE INSURANCE COMPANY SETTLES FOR $5.5 MILLION OVER DATA BREACH (8/16/17)
- PE FIRM PAYS OVER $1.6 MILLION FOR IMPROPER EXPENSE ALLOCATION (8/18/17)
- SEC ACCUSES ADVISER OF FALSELY INFLATING AUM TO REGISTER (8/7/17)
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