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 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 | 2014-04-21 | Industry News
The FCA has recently completed the second stage of its thematic review on how firms and advisors are implementing RDR requirements. TR 14/5 focuses on the standard for independent advice, to respond to the industry’s desire for greater clarification on what actions...
by gcleve | 2012-04-07 | Industry News
The FCA recently undertook a thematic review of the transition management (“TM”) industry which sought to better understand the TM market, explore potential weaknesses in managing conflicts of interest and examine senior managers’ understandings of client requirements...