The February edition of the Alternative Investor is out, covering the past month’s alternative news and guest writers share their insights on private equity trends.
Our Regulation roundup in this month’s edition includes:
- UK
- FCA response to government call for regulators to support growth
- The Short Selling Regulations 2025
- FCA objects to Change in Control due to failures to meet standards
- FCA fines Arian Financial LLP £288,962.53 for failings related to cum-ex trading
- US
- SEC extends Form PF Amendments compliance date
- SEC Enforcement Round-up
- SEC charges investment adviser for breach of fiduciary duties;
- Twelve firms settle more than $63 million in combined SEC charges for recordkeeping failures; and
- SEC charges advisory firm with misrepresenting its anti-money laundering procedures.
Click below for the February edition of The Alternative Investor:
