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
- Two Sustainability Disclosure Requirements developments:
- 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:
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