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...
by gcleve | 2017-08-02 | Industry News
On 17 July, the FCA published the Terms of Reference (“ToR”) for their latest study on investment platform market (the “Study”). The 5 broad topics being considered to assess whether competition between investment platforms work in the interest of consumers, are set...
by gcleve | 2017-07-07 | Our Thinking
On Monday 3 July 2017, the FCA released policy statement 17/14 (“PS 17/14”) with the final rules on the implementation of MiFID II. The impact in particular on brokers and analysts will be great due to the new regulations focused on how research can be paid for....
by gcleve | 2017-07-04 | Industry News
On Monday 3 July 2017, the greatly anticipated implementation policy statement was published by the FCA. Policy statement (PS 17/14) follows from 6 previous consultation papers and discusses the implementation of MiFID II and most importantly sets out the final rules...
by gcleve | 2017-06-26 | Our News
Our Managing Director, Emma Cleveland, has been featured in We Are The City’s ‘Inspirational Woman’ series. Read about Emma’s advice to other women, the challenges she’s faced, and her career successes here.
by gcleve | 2017-06-21 | Our News
Today we are celebrating Cleveland & Co’s 5-year anniversary! We have come a long way since 2012 and we would like to take this opportunity to thank all of our clients who have supported us over the past 5 years. We look forward to continue working with you...
by Emma Cleveland | 2017-06-13 | Industry News
The European Securities and Markets Authority (“ESMA”) is committed to monitoring follow-up actions taken by national competent authorities (“NCA’s”) to address the findings of peer reviews. The recent follow-up report published by ESMA provides an update on the...
by Emma Cleveland | 2017-05-31 | Awards, Our News, Us in the Press
We are extremely proud to share with you that Emma has been announced as the Boutique Lawyer of the Year for Women in Law awards 2017. The Women in Law awards are a series of internationally recognised awards, celebrating the outstanding innovation, hard work and...
by Emma Cleveland | 2017-05-25 | Industry News
On 16 May 2017, the Council of the European Union adopted the proposed regulation that repeals and replaces the Prospectus Directive and the Prospectus Regulation (the “New Regulation”). The first prospectus directive was adopted in 2003 and revised in 2009. The...
