by Emma Cleveland | 2018-06-07 | Industry News
Earlier this year, the FCA set out its ‘Approach to Supervision’ and ‘Approach to Enforcement’ (the “Documents”) to provide more clarity and detail around the FCA’s approach to regulating authorised firms. The Documents are part of a series planned by the FCA...
by Emma Cleveland | 2018-06-07 | Our News, Recruitment
We are looking to expand our company and are passionate about attracting and retaining competent, experienced and talented professionals that believe in our values, are positive, love change, respect people, and take responsibility. Here are some of the qualities we...
by Emma Cleveland | 2018-05-17 | Industry News
In August 2017, the FCA published consultation paper CP17/28 (the “Consultation Paper”) which sets out several proposals designed to support the retail investment advice sector. These included amendments to the FCA’s Perimeter Guidance Manual (“PERG”) on what amounts...
by Emma Cleveland | 2018-05-15 | Industry News
On 12 March 2018, the FCA published its Discussion Paper: Transforming Culture in Financial Services (DP18/2) (the “Discussion Paper”), that presents a series of views from academics and industry thought leaders. The intention behind the Discussion Paper is to provide...
by Emma Cleveland | 2018-05-01 | Industry News
On 12 March 2018, the European Commission (the “Commission”) published draft proposals aimed at removing certain regulatory and administrative barriers to the cross-border distribution of alternative investment funds (“AIFs”) and undertakings for collective investment...
by Emma Cleveland | 2018-04-26 | Industry News
The Financial Conduct Authority (“FCA”) has published Handbook Notice 48, setting out the changes made to the FCA Handbook under the following instruments that were made by the FCA board in September and October of 2017, such as the Financial Services Compensation...
by Emma Cleveland | 2018-04-19 | Industry News
The Court of Appeal considered the circumstances where a parent company can be held liable for the acts of its subsidiaries in the judgement Okpabi and others (on behalf of themselves and the people of Ogale Community) v Royal Dutch Shell Plc and another [2018] EWCA...
by Emma Cleveland | 2018-04-18 | Awards, Our News, Us in the Press
We are very proud to announce that we have been shortlisted for a Legal Week Innovation Award in the category, ABS Innovation. The Legal Week Innovation Awards celebrate outstanding innovative achievement within legal services and recognise firms that...
by Emma Cleveland | 2018-04-03 | Industry News
On 6 December 2017, the Government published the UK Investment Management Strategy II report (the “Report”), which lays out the strategy and long term approach to build on the competitiveness of the UK asset management industry that will inform future government...
by Emma Cleveland | 2018-03-28 | Industry News
The FCA has launched a survey for relevant firms and fund managers of EEA inbound firms that passport into the UK (the “Survey”). EEA inbound firms are those who have been authorised in an EEA state that are or have been exercising their right to carry on a regulated...
