The September edition of The Alternative Investor is out, covering the past month’s alternative news, and spotlighting the UAE’s emergence as a global centre for private capital.
Our Regulation roundup in this month’s edition includes:
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UK
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FCA extends accountability: What Non-Financial Misconduct rules mean for hedge funds
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SMCR reform: What Alternative Investment Firms need to know
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Transaction Reporting Update
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Market Watch 82
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FCA fines Sigma Broking Limited for transaction reporting failures
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H2O Deputy CEO fined £1m and banned from financial services for deliberately misleading the FCA
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US
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FinCEN announces postponement and reopening of investment adviser rule
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SEC charges New York-based investment adviser with breaching fiduciary duty by overcharging management fees to private funds
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SEC charges portfolio manager over private fund investments in fraudulent scheme
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Click below for the September edition of The Alternative Investor:
