by Victoria Smith | 2022-12-14 | Our Thinking
Recent regulatory action and fines against a top investment firm highlight the Securities and Exchange Commission (“SEC”) focus on ESG when marketing products as an ESG investment. Firms that fail to ensure proper selection and monitoring of their ESG investments may...
by Victoria Smith | 2022-12-12 | Our Thinking
summary On 1 November 2022, the Financial Conduct Authority (“FCA”) published a speech by Therese Chambers (Director of Consumer Investments, FCA) on key priorities for the financial services industry. In its speech, the FCA stated that it wanted to see more consumers...
by Victoria Smith | 2022-12-06 | Our News, Recruitment
Natalie is another of our fantastic interns who has sadly come to the end of her internship with us. Natalie has ably assisted our legal team for the last 6 weeks and impressed the whole firm with her presentation skills! Natalie is soon to return to the States, and...
by Victoria Smith | 2022-12-02 | Our News, Recruitment
Josie has been an invaluable part of the team for the past 6 weeks as our HR intern and how the time has flown by! Josie is soon to return to Chicago, and so as she comes to the end of her time with us, we sat down to ask her a few questions about her experiences at...
by Victoria Smith | 2022-11-25 | Our News
Our Sydney office celebrates its first year of operation this month and what a journey we’ve had! As our new MD, Tanja Listar joins, we are very much looking forward to seeing what the next year brings and are excited to bring you further Sydney news over the...
by Victoria Smith | 2022-11-24 | Our Thinking
summary On 21 July 2022, HM Treasury, with the Bank of England, the Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”), issued a discussion paper (the “Paper”), setting out its proposal for mitigating risks of systemic disruption and...
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....
