RQC Group Monthly Regulatory Newsletter, September 2026 | UK and US round-up

By: Wayne Merris, RQC Group · Published: 2026-09-08

RQC Group's September 2026 Monthly Regulatory Newsletter: UK asset management reform, FCA financial crime findings, the leaner UK transaction reporting regime, UK crypto preparation, fund liquidity risk, Form PF, SEC electronic delivery, FinCEN beneficial ownership and NFA fingerprinting.

RQC Group Monthly Regulatory Newsletter, September 2026, UK and US round-up, by Wayne Merris, published 8 September 2026.

Our September 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last couple of months in the UK and the US. The edition runs to 32 pages across the UK and US chapters and the calendar of upcoming dates, published in two editions with the same coverage ordered for each audience.

UK. This month's UK coverage includes: UK asset management reform: a more proportionate regime; asset management and alternatives firms' financial crime controls, the FCA's findings; FCA finalises a leaner UK transaction reporting regime; UK crypto regulation moves from policy to preparation; enhancing fund liquidity risk management; FCA review of high-growth firms, is your control framework keeping pace; and an enforcement round-up.

US. This month's US coverage includes: compliance deadline for Form PF further extended; SEC proposes electronic delivery as the default for regulatory information; SEC establishes a specialised financial reporting and accounting enforcement unit; FinCEN Final Rule ends most beneficial ownership reporting requirements; SEC charges a private fund adviser, its CEO and affiliated general partners in alleged fraud; SEC moves toward reform of the investment adviser pay-to-play rule; CFTC proposes CPO and CTA registration relief for certain SEC-registered advisers; SEC proposes a tailored offering framework for certain crypto asset investment contracts; and a new NFA fingerprinting process effective October 1, 2026.

Key upcoming dates and deadlines. The final chapter of the newsletter sets out UK and global, EU and US key upcoming dates and deadlines, with the full calendar in the flipbook editions.

About RQC Group. RQC Group has delivered pragmatic and commercial regulatory solutions since 2007, providing cross-border services to hundreds of clients across financial services, with offices in London and New York. Its services span compliance consulting, regulatory hosting, RegteQ and e-Learning, an appointed representative hosting solution that provides access to the UK market, and CPD-certified e-learning courses developed by senior consultants. Clients include investment managers, wealth managers, funds of funds, venture capital, private debt, family offices, corporate finance and advisory firms.

This piece is an ALTALLO summary of RQC Group's Monthly Regulatory Newsletter, September 2026, by Wayne Merris, provided for information only and not legal, regulatory or compliance advice. Published on rqcgroup.com on 8 September 2026: https://rqcgroup.com/latest-insights/monthly-regulatory-newsletter-september-2026/. Author profile: https://rqcgroup.com/author/w-merris/. RQC Group: https://rqcgroup.com/. RQC Group on ALTALLO: https://www.altallo.com/marketplace/vendors/rqc-group.