by Emma Cleveland | 2014-08-07 | Industry News
There has been a flurry of papers produced over the last 6 months in relation to the use of dealing commissions, and the industry seems headed for a new world of unbundling. What are firms going to do? In July 2014 the FCA published DP14/3 in relation to the use of...
by Emma Cleveland | 2014-08-05 | Our Thinking
The FCA has recently completed the second stage of its thematic review on how firms and advisors are implementing RDR requirements. TR 14/5 focuses with greater clarification on what actions firms should take to meet the new independence requirements. TR 14/6...
by Emma Cleveland | 2014-07-31 | Our News
We are pleased to announce the launch of our regular newsletter ‘Our Thinking’. ‘Our Thinking’ will not only contain the latest industry news, but practical information on what it means for you and your working practices, as well as helpful...
by Emma Cleveland | 2014-07-23 | Our Thinking
Much has been discussed over recent years in relation to the importance of stewardship by investors, and this is not to be diminished. But should you be contractually agreeing to comply with it in your client agreements? The first version of the FRC’s UK Stewardship...
by Emma Cleveland | 2014-07-09 | Our Thinking
Below we have provided a glance card, outlining the key upcoming changes to CASS in respect of custody services. Should you require any further advice or information on CASS custody changes, Cleveland & Co, your external in-house counsel, are here to...
by Emma Cleveland | 2014-06-26 | Our Thinking
Do you often get resistance from US investment managers when asking them to comply with UK regulations when they are being appointed to manage a UK UCITS scheme? Here is a short Q&A which will help you understand why. US investment managers tend to push back on...
by Emma Cleveland | 2014-06-10 | Our Thinking
Are you an investment manager? Do you often get asked by Trustees of pension funds to contractually agree to comply pension related legislation and regulation in your IMAs? Here is a short Q&A which will help you decide how to respond to these requests. It is...
by Emma Cleveland | 2014-05-29 | Our Thinking
Do you work for an investment manager that doesn’t seem to have any criteria around when to offer a client a segregated account? Here is a short Q&A that will help you develop your internal approach! Q: When would an investment manager be appointed to manage...
by Emma Cleveland | 2014-05-29 | Industry News
On 20 May 2014 the National Association of Pension Funds (NAPF) published a new guide to help pension funds fully understand transition management (TM) and what to consider when choosing a transition manager. This ‘Made Simple’ guide follows the...
by Emma Cleveland | 2014-05-28 | Industry News
On 19 May 2014 the Association of British Insurers (ABI) published a revised Guide to Good Practice for Unit-Linked Funds. The revised Guide takes on board the findings of the FCA’s thematic review on The governance of unit-linked funds which highlighted the need for...
