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...
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 Emma Cleveland | 2017-09-30 | Our Thinking, Us in the Press
Emma explains this LexisNexis interview what ESMA says about algorithmic trading, commodity derivatives, and other topics in its Q&As. Please click here to read more.
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 Emma Cleveland | 2017-09-11 | Our Thinking, Us in the Press
Our research on the Senior Managers Certification Regime shows that the number of individuals who can be held personally responsible for misconduct is expected by increase 20-fold. The implication is that firms will be required to provide extra training for affected...
by gcleve | 2017-09-08 | Our Thinking
On 26 July 2017, the FCA published its consultation paper CP 17/25 regarding the extension of the Senior Managers & Certification regime (“SM&CR”) to all FCA firms. The purpose of extending the SM&CR regime is to raise the standard of conduct for everyone...
