The November edition of the Alternative Investor is out, covering strategies for stronger funds in today’s environment. Highlights include GenAI adoption, scaling up funds and treasury’s shift to a strategic role. Plus, insights on investor interest, partnerships, and private credit attitudes.
Our Regulation roundup in this month’s edition includes:
- UK
- FCA wins appeal in BlueCrest case
- Double jeopardy: FCA fine for failure to report HMRC fine
- Market Watch 80 – lack of transparency in ultimate beneficial owners
- FCA publishes results of non-financial misconduct survey
- US
- SEC Division of Examinations announces 2025 priorities
- SEC Enforcement Round-up
- Investment adviser fined $500,000 over whistleblower violations
- Seven investment advisers among the 23 entities fined for late reporting in another SEC sweep
- SEC fines investment adviser $1.5 million for MNPI failures
Click below for the November edition of The Alternative Investor:
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