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Top 5 Regulatory Alerts – August 2016

Top 5

Here are our Top 5 Regulatory Alerts for August 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 – August 2016

  1. SEC’s New Form ADV Will Require Detailed Information on Separately Managed Accounts (8/31/16)
  2. SEC Wallops Large Private Equity Firm with $52.7 Million in Penalties (8/24/16)
  3. SEC Fines 13 Advisers for Failing to Verify Third Party’s Performance (8/29/16)
  4. SEC Imposes $340,000 Fine Because Severance Agreements Violated Dodd-Frank Act (8/23/16)
  5. FINRA Proposes Changes to Gift and Non-Cash Comp Rules (8/10/16)

 

 

Most Read – August 2016

  1. SEC Wallops Large Private Equity Firm with $52.7 Million in Penalties (8/24/16)
  2. SEC’s New Form ADV Will Require Detailed Information on Separately Managed Accounts (8/31/16)
  3. SEC Fines 13 Advisers for Failing to Verify Third Party’s Performance (8/29/16)
  4. SEC Imposes $340,000 Fine Because Severance Agreements Violated Dodd-Frank Act (8/23/16)
  5. Private Equity Firm Owned by Large Institutional Manager Fined $2.3 Million (8/25/16)