Our April 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the UK, the EU and the U.S.
This month we cover the following:
- UK:
- A new “third way”… FCA consults on option to permit “re-bundling” of research and execution services
- Extending the Sustainability Disclosure Requirements (“SDR”) regime to portfolio management: CP24/8
- Asset management: common errors when applying for FCA authorisation
- The long shadow of Woodford – FCA sets out its findings against Link Fund Solutions
- FCA Updates Form A for Senior Management and Controlled Function applications
- The Financial Resilience Survey data
- FCA regulated fees and levies: Rates proposals for 2024/25: CP24/6
- FCA proposes updating its Financial Crime Guide
- Market Watch 78
- Accelerated Settlement Taskforce: Report published
- EU:
- ESMA’s latest newsletter
- Alternative investment funds’ exposures to commercial real estate
- U.S.:
- U.S. regulators’ vigilance in enforcing against off-channel communications
- SEC issues Risk Alert providing initial observations regarding Marketing Rule compliance
- SEC fines five investment advisers for violating the Marketing Rule
- SEC fines investment adviser $6.5 million for recordkeeping and code of ethics failures
- Jury sides with SEC in shadow insider trading case
- Key upcoming dates and deadlines
Click below to view and download our April 2024 Newsletter:
April 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
Our April 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month in the UK, the EU and the U.S.
This month we cover the following:
- U.S.:
- U.S. regulators’ vigilance in enforcing against off-channel communications
- SEC issues Risk Alert providing initial observations regarding Marketing Rule compliance
- SEC fines five investment advisers for violating the Marketing Rule
- SEC fines investment adviser $6.5 million for recordkeeping and code of ethics failures
- Jury sides with SEC in shadow insider trading case
- UK:
- A new “third way”… FCA consults on option to permit “re-bundling” of research and execution services
- Extending the Sustainability Disclosure Requirements (“SDR”) regime to portfolio management: CP24/8
- Asset management: common errors when applying for FCA authorisation
- The long shadow of Woodford – FCA sets out its findings against Link Fund Solutions
- FCA Updates Form A for Senior Management and Controlled Function applications
- The Financial Resilience Survey data
- FCA regulated fees and levies: Rates proposals for 2024/25: CP24/6
- FCA proposes updating its Financial Crime Guide
- Market Watch 78
- Accelerated Settlement Taskforce: Report published
- EU:
- ESMA’s latest newsletter
- Alternative investment funds’ exposures to commercial real estate
- Key upcoming dates and deadlines
Click below to view and download our April 2024 Newsletter:
April 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
