The December edition of the Alternative Investor is out, covering the past month’s alternative news and guest writers explore the fast-growing world of private credit.
Our Regulation roundup in this month’s edition includes:
- UK
- FCA in the crosshairs
- Transaction Reporting
- Market Watch 81; and
- Improving the UK transaction reporting regime: DP 24/2.
- Extending research regime changes to fund managers
- Next steps for reforming the UK MiFID
- Two FCA enforcements
- FCA bans director following conviction for grievous bodily harm; and
- Warning Notice Statement 24/4: Crispin Odey.
- US
- SEC & CFTC Enforcement Results
- Federal court overturns the SEC’s Dealer Rule
- Enforcement Round-up
- SEC fines JP Morgan affiliates over $150 million for multiple regulatory breaches; and
- NFA fines AC Investment Management $100,000 for compliance violations.
Click below for the December edition of The Alternative Investor:
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