International 2026 — Meet us there
by Leela|29 November 2017|Industry News
The European Securities and Markets Authority (“ESMA”) has issued two warning statements on initial coin offerings (“ICOs”), one on the risks of ICOs for investors and one on the rules applicable to firms involved in ICOs. ESMA is concerned about the rapid growth in ICOs globally and that both investors and firms may be unaware […]
Read moreby Leela|24 October 2017|Industry News
In November, the FCA will be launching an Asset Management Authorisation Hub (the “Hub”) designed to assist new firms through the FCA authorisation process. In 2016 alone, the FCA approved 204 authorisation applications for asset managers. The establishment of this Hub comes as a result of criticism that regulators and applicable rules can make it […]
Read moreby Leela|24 October 2017|Industry News
A recent report from the European Commission (“EC”) covering the final stages of its Capital Markets Union (“CMU”) initiative (a key initiative for Europe) aims to ease managers’ capacity to lend to and invest in European businesses. The EC’s vice-president Valdis Dombrovskis said “we want to create the right conditions for more funding to flow to […]
Read moreby Leela|24 October 2017|Awards
We are very proud to announce that Emma Cleveland is a finalist for the categories: Mentor of the Year; and Team Leader of the Year, in the Investment Week’s Women in Investment Awards 2017. The awards recognise the achievements of women who have helped support women in the workplace, especially in an industry where they are […]
Read moreby Leela|24 October 2017|Industry News
A record 3,730 suspicious transaction and order reports (“STORs”) of suspected insider dealing and market manipulation have been submitted to the FCA in the first 9 months of this year*, 24% more than in all of 2016 (3,008). Banks, brokers and regulated firms have to report suspected insider dealing and market manipulation, like those that […]
Read moreby Emma Cleveland|30 September 2017|Our Thinking
Emma explains this LexisNexis interview what ESMA says about algorithmic trading, commodity derivatives, and other topics in its Q&As. Please click here to read more.
Read moreby gcleve|18 September 2017|Awards
We are very proud to announce that Emma Cleveland has been nominated for the Investment Week’s Women in Investment Awards 2017 in the following categories: Investment Woman of the Year; Mentor of the Year; Role Model of the Year; and Team Leader of the Year. The awards recognise the achievements of women who have helped […]
Read moreby Leela|18 September 2017|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 in London, where he has worked for almost a decade at international financial […]
Read moreby Emma Cleveland|11 September 2017|Our Thinking
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 staff and t his will impact significantly on the budgets of smaller firms. To […]
Read moreby gcleve|8 September 2017|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 who works within with financial services industry and to make the more […]
Read moreWe use cookies to analyse site traffic and improve your experience. You can accept or reject analytics cookies. See our Cookie Policy.