The September edition of The Alternative Investor is out. In this edition, guest writers focus on Dubai as a fast-growing hub for alternative funds.
Our Regulation roundup in this month’s edition includes:
- “Re-bundling” of research and execution services permissible from 1 August 2024;
- Asset manager to pay €250 million to investors following FCA investigation;
- SEC fines investment adviser $1.8 million for mishandling Material Nonpublic Information;
- Investment adviser fined $6 million for failing to disclose conflicts and seek Best Execution;
- SEC charges short seller and firm for publishing false stock trading recommendations; and
- 26 firms are fined more than $470 million for off-channel communications.
Click below for the September edition of The Alternative Investor:
