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Top 5 Regulatory Alerts – July 2016

Top 5

Here are our Top 5 Regulatory Alerts for July 2016, 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 2016

  1. OCIE Launches Share Class Initiative (7/14/16)
  2. SEC Charges Fund Manager with Manipulating Inputs to Ensure Inflated Valuations (7/28/16)
  3. Failure to Heed Compliance Consultant’s Recommendations Results in Enforcement Action (7/8/16)
  4. SEC Imposes $300,000 Fine for Wrap Program ADV Missteps (7/18/16)
  5. GC/CCO Fined and Barred for Failing to Disclose Unauthorized Use of Funds (7/12/16)

 

 Most Read – July 2016

  1. SEC Charges Fund Manager with Manipulating Inputs to Ensure Inflated Valuations (7/28/16)
  2. GC/CCO Fined and Barred for Failing to Disclose Unauthorized Use of Funds (7/12/16)
  3. Fund-of-Funds Manager Allowed Redemptions Only to Insiders and Favored Clients (7/20/16)
  4. Two RIA Firms Fined/Censured for Failing to Disclose Forgivable Loans from Clearing Brokers (7/19/16)
  5. SEC Imposes $300,000 Fine for Wrap Program ADV Missteps (7/18/16)