The May edition of The Alternative Investor is out, with alternative fund news from the past month alongside guest features from Bitwise, DeFi, Eulith and PwC looking at the rise of tokenisation and what it means in the alts space.
Our Regulatory roundup in this month’s edition includes:
- UK
- FCA consults on option to permit “re-bundling” of research and execution services
- Recent developments in the FCA’s sustainability regime
- Asset Management: Common errors when applying for authorisation
- 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
Click below for the May edition of The Alternative Investor:
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