by Leela | 2017-09-18 | Our News
We are very excited to announce that Alejandro Alemany has joined the Cleveland & Co team. Alejandro is a dual qualified lawyer (England & Wales and Spain) with extensive experience in financial services and investment management, most of which he has gained...
by Emma Cleveland | 2017-09-11 | Our Thinking, Us in the Press
Our research on the Senior Managers Certification Regime shows that the number of individuals who can be held personally responsible for misconduct is expected by increase 20-fold. The implication is that firms will be required to provide extra training for affected...
by gcleve | 2017-09-08 | Our Thinking
On 26 July 2017, the FCA published its consultation paper CP 17/25 regarding the extension of the Senior Managers & Certification regime (“SM&CR”) to all FCA firms. The purpose of extending the SM&CR regime is to raise the standard of conduct for everyone...
by gcleve | 2017-08-24 | Industry News
The FCA has recently issued a consultation paper (“CP 17/29”) on minor amendments to the Client Assets sourcebook (“CASS”). These amendments are as a result of feedback received by the FCA from the industry regarding the difficulties that investment firms are...
by gcleve | 2017-08-08 | Industry News
The final report (the “Final Report”) released by the International Organisation of Securities Commission (“IOSCO”) at the end of July sets out their findings on how jurisdictions are progressing since IOSCO published their 2014 report (the “Report”) regarding the...
by gcleve | 2017-08-02 | Industry News
On 17 July, the FCA published the Terms of Reference (“ToR”) for their latest study on investment platform market (the “Study”). The 5 broad topics being considered to assess whether competition between investment platforms work in the interest of consumers, are set...
by gcleve | 2017-07-07 | Our Thinking
On Monday 3 July 2017, the FCA released policy statement 17/14 (“PS 17/14”) with the final rules on the implementation of MiFID II. The impact in particular on brokers and analysts will be great due to the new regulations focused on how research can be paid for....
by gcleve | 2017-07-04 | Industry News
On Monday 3 July 2017, the greatly anticipated implementation policy statement was published by the FCA. Policy statement (PS 17/14) follows from 6 previous consultation papers and discusses the implementation of MiFID II and most importantly sets out the final rules...
by gcleve | 2017-06-26 | Our News
Our Managing Director, Emma Cleveland, has been featured in We Are The City’s ‘Inspirational Woman’ series. Read about Emma’s advice to other women, the challenges she’s faced, and her career successes here.
by gcleve | 2017-06-21 | Our News
Today we are celebrating Cleveland & Co’s 5-year anniversary! We have come a long way since 2012 and we would like to take this opportunity to thank all of our clients who have supported us over the past 5 years. We look forward to continue working with you...
