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 | Industry News, Us in the Press
A record 3,730 suspicious transaction and order reports (“STORs”) of suspected insider dealing and market manipulation have been submitted to the FCA in the first 9 months of this year*, 24% more than in all of 2016 (3,008). Banks, brokers and regulated firms have to...
by gcleve | 2017-09-18 | Awards, Our News, Us in the Press
We are very proud to announce that Emma Cleveland has been nominated for the Investment Week’s Women in Investment Awards 2017 in the following categories: Investment Woman of the Year; Mentor of the Year; Role Model of the Year; and Team Leader of the Year. The...
by Leela | 2017-09-18 | Our News
We are very excited to announce that Alejandro Alemany has joined the Cleveland & Co team. Alejandro is a dual qualified lawyer (England & Wales and Spain) with extensive experience in financial services and investment management, most of which he has gained...
by gcleve | 2017-08-24 | Industry News
The FCA has recently issued a consultation paper (“CP 17/29”) on minor amendments to the Client Assets sourcebook (“CASS”). These amendments are as a result of feedback received by the FCA from the industry regarding the difficulties that investment firms are...
by gcleve | 2017-08-08 | Industry News
The final report (the “Final Report”) released by the International Organisation of Securities Commission (“IOSCO”) at the end of July sets out their findings on how jurisdictions are progressing since IOSCO published their 2014 report (the “Report”) regarding the...
