Home » Compliance Blog » Best of the Blog » Top 5 Regulatory Alerts – July-August 2017

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

  1. FINRA IMPOSED $80 MILLION MORE IN FINES IN 2016 (7/6/17)
  2. SEC SWEEP YIELDS CYBERSECURITY BEST PRACTICES (8/9/17)
  3. PE FIRM PAYS OVER $1.6 MILLION FOR IMPROPER EXPENSE ALLOCATION (8/18/17)
  4. EMERGING HEDGE FUNDS SPEND 20% ON COMPLIANCE BUT COULD SAVE THROUGH OUTSOURCING (7/11/17)
  5. REAL ESTATE INTERESTS ARE “SECURITIES” TRIGGERING FUND REGISTRATION (7/17/17)

 

Most Read – July-August 2017

  1. SEC SWEEP YIELDS CYBERSECURITY BEST PRACTICES (8/9/17)
  2. ADVISER CHARGED WITH DEFRAUDING PROFESSIONAL ATHLETE (8/29/17)
  3. LARGE INSURANCE COMPANY SETTLES FOR $5.5 MILLION OVER DATA BREACH (8/16/17)
  4. PE FIRM PAYS OVER $1.6 MILLION FOR IMPROPER EXPENSE ALLOCATION (8/18/17)
  5. SEC ACCUSES ADVISER OF FALSELY INFLATING AUM TO REGISTER (8/7/17)

Leave a Reply

Your email address will not be published. Required fields are marked *