Jurisdiction

Europe

Cleveland & Co Appoints Caroline Donald as Deputy General Counsel, Governance, Regulation & Trading

by Zoe Wang|4 July 2025|Industry News

Cleveland & Co is pleased to announce the appointment of Caroline Donald as Deputy General Counsel, Governance, Regulation & Trading. Caroline brings over 25 years of legal, regulatory, and leadership experience in financial services and investment management, having held senior legal and chief of staff roles at Goldman Sachs, First Sentier and Slaughter and May. […]

Cleveland & Co Appoints Anne-Marie Botha as Managing Director, Corporate

by Zoe Wang|14 May 2025|Industry News

Cleveland & Co is delighted to announce the appointment of Anne-Marie Botha as Managing Director, Corporate, marking a key milestone in the firm’s continued expansion. Anne-Marie’s appointment reflects our commitment to strengthening the leadership team as we enter our next phase of strategic growth and global scaling. With more than 25 years of senior leadership […]

FCA’s New Gateway for Financial Promotion Approval

by Leela|5 October 2023|Our Thinking

Background On 12 September 2023, the Financial Conduct Authority (“FCA”) published a Policy Statement (PS23/13) (the ‘‘Policy Statement’’), outlining its response to the feedback received in the Consultation Paper (CP22/27). The focus is on creating a new set of rules for authorised firms who approve, or intend to approve, financial promotions for unauthorised firms. Currently, […]

Cryptoassets financial promotion rules implementation timeline changes

by Leela|26 September 2023|Our Thinking

Background On 7 September 2023, the Financial Conduct Authority (“FCA”) published a press release announcing its intention to revise the implementation timeline for enforcing specific rules related to the promotions of cryptoassets. These rules were outlined in the financial promotion rules for cryptoassets (PS23/6), which were published on 8 June 2023 (“Crypto Rules”). Additionally, the […]

UK Law Commission’s Final Report on Digital Assets

by Leela|24 August 2023|Our Thinking

On 28 June 2023, the UK Law Commission (the “Commission“) issued a Final Report on Digital Assets (the “Report“), providing high level recommendations on how digital assets should be categorised and regulated after receiving public input from a consultation held in 2022. The Commission stated that while the common law framework covers the uprising of […]

Emma Cleveland shortlisted for Legal Advisor of the Year award

by Leela|10 August 2023|Awards

We are delighted to share that Emma Cleveland has been shortlisted for Legal Advisor of the Year at the Women in Finance Awards 2023! These prestigious awards shine a spotlight on the outstanding achievements of women professionals within the financial services sector. Our commitment to diversity is a cornerstone of Cleveland & Co’s strategic vision, and […]

Consumer Duty and the 31st July deadline – Are you compliant?

by Leela|3 August 2023|Industry News

The Financial Conduct Authority’s Consumer Duty came into force on 31 July 2023, making it applicable to all new and existing products or services that are open to sale or renewal. Firms must have all the necessary processes and agreements in place to fulfil their obligations under the Consumer Duty… For more information on the […]

Q&A with our interns, Alex, Hannah and Hailey

by Leela|28 July 2023|Our News

Alex Findlay, Hannah Nguyen and Hailey Kadivar have all been an invaluable part of the team for the past 4 weeks as our interns! Their unwavering commitment and hard work during their time with us have been truly impressive. As they prepare to embark on the next stage of their journey, we took the opportunity […]

EU Adoption of EU-US Data Privacy Framework

by Leela|27 July 2023|Our Thinking

On 10 July 2023, the European Commission adopted the new EU-US Data Privacy Framework (the “Framework”). This Framework ensures that personal data transferred from entities in the EU to entities in the US who are signatories to the Framework will receive adequate protection. As a result, personal data can freely flow from the EU to […]

UK Government’s proactive stance on a ‘‘Pro-Innovation’’ approach to AI Regulation

by Leela|25 July 2023|Our Thinking

In June 2023, the Secretary of State for Science, Innovation, and Technology unveiled the “A pro-innovation approach to AI regulation” policy paper. This paper emphasises the role of AI in bolstering the UK economy through innovation. However, it also acknowledges the emergence of new risks like privacy violations and potential threats to human rights and […]