RQC Group are most popular:
- within Wealth Management topic(s)
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:
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.