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The March edition of The Alternative Investor is out, looking at alternative fund news from the past month alongside guest features on ESG, with contributions from Blue Dot Capital, Ocorian, AIMA and Simmons & Simmons.

Our Regulatory roundup in this month’s edition includes:

  • U.S.
    • FinCEN’s new rule on Beneficial Ownership Information reporting
    • NFA releases regulatory obligations related to common deficiencies for CPO and CTA Members
    • SEC expands the definition of Dealer
    • SEC and CFTC adopt amendments to enhance Private Fund reporting
    • FinCEN proposes rule to require Investment Advisers to comply with AML and CFT standards
    • U.S. Enforcement Round-up
  • UK
    • FCA’s new approach to enforcement
    • Market Abuse: Market Watch 77: Trading by organised crime groups; criminal enforcement activity
    • FCA Authorisations operating service metrics 2023/24 Q3
  • EU
    • European Parliament approves final “AIFMD II” text

Click below for the March edition of The Alternative Investor:

The Alternative Investor

Click if you would like to find out more about our Compliance Consulting services.


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