Our Thinking · Regulatory & Compliance · USA
As a reminder, the Securities and Exchange Commission introduced regulations overseeing the advertising practices of investment advisors, mandating compliance by November 2022. Firms must ensure… Please click here to follow us on LinkedIn to receive the latest information on this and other important topics!
Awards & Press · Europe
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 […]
Our Thinking · Regulatory & Compliance · Asia Pacific
On 25 May 2023, the Attorney-General’s Department released the outcomes of the statutory review (“the Review“) of the Australian Modern Slavery Act 2018 (Cth). The Review focuses on reinforcing Australia’s efforts to combat modern slavery, in accordance with the United Nations Guiding Principles on Business and Human Rights. The proposed changes, if observed… Please click […]
Our Thinking · Regulatory & Compliance · Asia Pacific
The Australian Prudential Regulation Authority (“APRA“) has published a newsletter highlighting the importance of placing focus on cyber security while conducting independent tripartite cyber assessments on its regulated entities. These assessments are aimed at ensuring that these entities have the necessary infrastructure to effectively withstand cyberattacks and security threats. Although currently evaluating approximately 300 banks, […]
Our Thinking · Regulatory & Compliance · Commercial & Corporate · Asia Pacific
On 17 July 2023, the Australian Prudential Regulation Authority (“APRA“) released the Prudential Standard CPS 230 for Operational Risk Management (“CPS 230“), along with a consultation draft of the Practice Guide CPG 230 for Operational Risk Management. The main objective of CPS 230 is to minimise disruptions to critical operations by mandating that organisations establish […]
Our Thinking · Regulatory & Compliance · Europe
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 […]
Our Thinking · Regulatory & Compliance · Asia Pacific
In recent times, a number of investment funds have come under scrutiny and criticism for engaging in greenwashing. We can help you navigate this complex issue. Safeguard your firm against the risk of greenwashing Schedule your 10-minute call with Tanja Listar for invaluable insights and guidance to ensure that your firm meets all the necessary […]
Our Thinking · Regulatory & Compliance · Asia Pacific
The 79th session of the Economic and Social Commission for Asia and the Pacific (the “ESCAP”) was held from 15 to 19 May 2023. This session witnessed the adoption of 10 United Nations (“UN”) resolutions by countries within Asia-Pacific (the “APAC”), with the aim of reaffirming their unwavering commitment to safeguarding the planet and its […]
Recruitment · Europe
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 […]
Our Thinking · Commercial & Corporate · Europe
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 […]
When regulation shifts, our General Counsel set out what has changed for your firm and the steps we recommend you take.
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