Our March 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month, including:
- The FCA sets out supervisory strategy for Asset Management and Alternative sectors
- The FCA sets out its plan for the year ahead: Business Plan 2024/25
- HM Treasury consultation: Improving the effectiveness of the Money Laundering Regulations
- FCA warns Annex 1 firms over anti-money laundering failings
- Wind-down planning: FCA sets out prime considerations for regulated firms
- House of Commons Treasury Committee’s “Sexism in the City” report published
- FCA updates position on cryptoasset Exchange Traded Notes for professional investors
- FCA publishes dedicated webpage for alternative investment fund manager (“AIFM”) hosting
- Recent Cum-ex Trading Enforcement Developments
- EU Round-up
- SEC adopts amendment regarding investment advisers operating exclusively through the internet
- SEC changes two investment advisers with making false and misleading statements about their use of AI
- SEC fines advisory firm $950,000 for failing to make timely beneficial ownership disclosures
- Key upcoming dates and deadlines
Click below to view and download our March 2024 Newsletter:
March 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
Our March 2024 Monthly Newsletter is out, covering notable regulatory news and activities that took place last month, including:
- SEC adopts amendment regarding investment advisers operating exclusively through the internet
- SEC changes two investment advisers with making false and misleading statements about their use of AI
- SEC fines advisory firm $950,000 for failing to make timely beneficial ownership disclosures
- The FCA sets out supervisory strategy for Asset Management and Alternative sectors
- The FCA sets out its plan for the year ahead: Business Plan 2024/25
- HM Treasury consultation: Improving the effectiveness of the Money Laundering Regulations
- FCA warns Annex 1 firms over anti-money laundering failings
- Wind-down planning: FCA sets out prime considerations for regulated firms
- House of Commons Treasury Committee’s “Sexism in the City” report published
- FCA updates position on cryptoasset Exchange Traded Notes for professional investors
- FCA publishes dedicated webpage for alternative investment fund manager (“AIFM”) hosting
- Recent Cum-ex Trading Enforcement Developments
- EU Round-up
- Key upcoming dates and deadlines
Click below to view and download our March 2024 Newsletter:
March 2024 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
