by Leela | 2017-11-30 | Industry News
MiFID II comes into force from 3 January 2018, and introduces a new model (replacing the current commission sharing arrangements) under which research provided by a third party to an investment firm must be paid for. Therefore, firms can no longer be provided...
by Leela | 2017-11-29 | Industry News, Our Thinking
The European Securities and Markets Authority (“ESMA”) has issued two warning statements on initial coin offerings (“ICOs”), one on the risks of ICOs for investors and one on the rules applicable to firms involved in ICOs. ESMA is concerned about the rapid growth in...
by Leela | 2017-10-24 | Industry News
In November, the FCA will be launching an Asset Management Authorisation Hub (the “Hub”) designed to assist new firms through the FCA authorisation process. In 2016 alone, the FCA approved 204 authorisation applications for asset managers. The establishment of this...
by Leela | 2017-10-24 | Industry News
A recent report from the European Commission (“EC”) covering the final stages of its Capital Markets Union (“CMU”) initiative (a key initiative for Europe) aims to ease managers’ capacity to lend to and invest in European businesses. The EC’s...
by Leela | 2017-10-24 | Awards
We are very proud to announce that Emma Cleveland is a finalist for the categories: Mentor of the Year; and Team Leader of the Year, in the Investment Week’s Women in Investment Awards 2017. The awards recognise the achievements of women who have helped support...
