by Victoria Smith | 2022-06-16 | Our Thinking
SUMMARY On 20 April 2022, the Financial Conduct Authority (“FCA”) published its final statement regarding diversity and inclusion on company boards and executive management with a view to increasing the disclosure of diversity and inclusion on listed company boards...
by Victoria Smith | 2022-06-08 | Our Thinking
The Russian invasion of Ukraine has affected financial markets in many ways. Sanctions have been imposed in response to Russia’s invasion, and the Russian government has applied trading restrictions. Some securities, including some Ukrainian assets, have become...
by Victoria Smith | 2022-05-31 | Our Thinking
summary The Federal Court has found that financial adviser, RI Advice, has breached its Australian Financial Services (“AFS”) licence obligations. RI Advice failed to have adequate risk management systems to manage its cybersecurity risks and as a result, breached its...
by Victoria Smith | 2022-05-17 | Our Thinking
Background On 10 May 2022, her Majesty the Queen set out the UK Government’s legislative priorities for the upcoming parliamentary session in the Queen’s Speech. Following the Queen’s Speech, the Government published background briefing notes unveiling details...
by Victoria Smith | 2022-05-12 | Our Thinking
If you are considering raising funds or providing other financial services in Australia, you may qualify for relief as a “Foreign Financial Services Provider” (“FFSPs”) due to having comparable obligations in your home jurisdiction. As a welcome development following...
by Victoria Smith | 2022-05-11 | Our Thinking
background Packaged Retail and Insurance-based Investment Products (“PRIIPS”) can be either (or both) (a) investments issued by special purpose vehicles where, regardless of the legal form, the amount repayable to retail investors is subject to fluctuation because of...
