The November edition of The Alternative Investor is out, covering the past month’s alternative news, with the spotlight on Infrastructure Investing.
Our Regulation roundup in this month’s edition includes:
- UK
- Changes to the UK short selling regime,CP25/29: FCA seeks views
- Progressing fund tokenisation, CP25/28: boosting efficiency and innovation in asset management
- Client categorisation in corporate finance firms: FCA’s high-level observations – FCA finds gaps in client categorisation assessments and records
- Financial crime oversight in corporate finance firms “shows gaps”: survey findings
- FCA bans and fines advisor £100,281 for insider dealing
- FCA secures $101m redress for BlueCrest investors
- US
- Regulation S-P amendments: compliance deadline approaching
Click below for the November edition of The Alternative Investor:
