by Victoria Smith|25 November 2022|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 coming months. Thank you to all our clients who […]
Read moreby Victoria Smith|24 November 2022|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 strengthening of critical third party (“CTP”) services in the UK financial sector. The Paper also […]
Read moreby Victoria Smith|22 November 2022|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 procedures. At Cleveland & Co, we’ve been preparing to assist our clients with these […]
Read moreby Victoria Smith|21 November 2022|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 us as the Sydney office reaches the milestone of its first year […]
Read moreby Victoria Smith|17 November 2022|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 and technological advances. The purpose of the guidance is to inform employers how […]
Read moreby Victoria Smith|15 November 2022|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. background Entities that provide financial product advice to clients must follow guidelines of personal advice and general […]
Read moreby Victoria Smith|8 November 2022|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 the aim to treat crypto like other forms of financial […]
Read moreby Victoria Smith|28 October 2022|Our News
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 about his career so far, his experiences […]
Read moreby Victoria Smith|19 October 2022|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 greater accountability obligations. The introduction of the Compensation Scheme of Last Resort (“CSLR”) as well as […]
Read moreby Victoria Smith|19 October 2022|Awards
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 recent FT Innovative Lawyer Awards. The commendation recognises our innovative business model which provides financial services […]
Read moreWe use cookies to analyse site traffic and improve your experience. You can accept or reject analytics cookies. See our Cookie Policy.