by Victoria Smith | 2022-11-22 | Our Thinking
The SEC’s new Marketing Rule means changes to the way investment advisers can communicate with their investors. Firms will need to ensure they are compliant with the new Marketing Rule by making updates to their marketing materials, contracts and policies and...
by Victoria Smith | 2022-11-21 | Our News
Today, we are delighted to officially welcome Tanja Listar to the Cleveland & Co team as our new Managing Director, Asia Pacific! Tanja brings with her over 20 years of experience in the financial services sector and has a passion for client service. Tanja joins...
by Victoria Smith | 2022-11-17 | Our Thinking
In 2022, the UK ICO released topic-specific guidance on employee monitoring. The guidance was published in draft form and is open to consultation until 11 January 2023. The ICO reviewed the Employment Practices Data Protection Code to reflect changes in the workplace...
by Victoria Smith | 2022-11-15 | Our Thinking
summary In August 2022, the Australian Treasury released the Quality of Advice Review Consultation paper (“Consultation Paper”) which provides proposals for reform relating to the quality of advice given by entities that provide financial product advice to clients....
by Victoria Smith | 2022-11-08 | Our Thinking
summary Emerging crypto regulation in the United Kingdom (“UK”) On 25 October 2022, the House of Commons voted in favour of adding crypto to the scope of activities to be regulated via the proposed Financial Services and Markets Bill 2022-23 (the “Bill”). The Bill has...
by Victoria Smith | 2022-10-28 | Our News, Recruitment
In this ‘Meet the Team’ Q&A, we are delighted to introduce you to Eric Tant, a US qualified lawyer who has recently joined the Cleveland & Co team and who is focussed on growing our US capabilities. We sat down with Eric to ask him a few questions...
by Victoria Smith | 2022-10-19 | Our Thinking
summary Several financial regulations have come in place over the last few months to increase accountability as well as enhance consumer and investor protection. Most notably, there is the introduction of the Financial Accountability Regime (“FAR”) which will impose...
by Victoria Smith | 2022-10-19 | Awards, Us in the Press
Following on from our recent inclusion in the FT Law Firm Index, recognising our innovative approach to providing legal services, the Cleveland & Co team are thrilled to announce that we have been commended for ‘Challenging Traditional Models’ at the...
by Victoria Smith | 2022-10-19 | Awards, Us in the Press
At Cleveland & Co, we are constantly looking to innovate to provide a better service to our clients. We are delighted that this focus on innovation and service delivery has been recognised through our ranking in the FT’s Law Firm Index and its special report...
by Victoria Smith | 2022-10-18 | Our Thinking
On 21 April 2021, the European Commission (the “Commission”) published its proposal for the Artificial Intelligence (“AI”) Regulation (the “Draft Regulation”). It represents the Commission’s attempt to regulate AI technologies, setting out a cross-sectoral regulatory...
