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The October edition of the Alternative Investor is out, looking at alternative news and views. In this issue, expert contributors guide us through the world of art, cars, wine & whisky and watch investments – and the rise of asset based finance.

Our Regulation roundup in this month’s edition includes:

  • UK
    • Two Sustainability Disclosure Requirements developments:
      • Naming and marketing rules; and
      • Extending SDR to Portfolio Management.
    • FCA sets out its evolving approach to enforcement
    • FCA feedback on missing data in AIFMD “Annex IV” reports
  • US
    • FinCEN requires registered investment advisers and exempt reporting advisers to develop AML/CFT programs
    • SEC Regulatory Roundup including;
      • SEC fines twelve more firms for recordkeeping failures;
      • Self-reporting firm not fined amidst continued off-channel communications sweep;
      • SEC fines nine firms amidst ongoing examination sweep into Marketing Rule; and
      • SEC fines two firms for custody failures.

Click below for the October 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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Number of courses Volume Discount
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