Category Archives: CASS

Aug6

Supreme Court hears a Firm’s Client that was Defrauded by its own Owner Director

At the end of July, the Supreme Court heard the ultimate appeal by Daiwa Capital Management against the judgment of the Court of Appeal in the case of Singularis v Daiwa, in which Oliver Lodge acted as expert witness. Whether …
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Posted in: CASS
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Jan2

A Blissful New Year

Judging from the financial press, you might suppose that this was the year of MiFID II. However, there is the small matter of a general election in the wings, insignificant as that should of course be regarded in these euro-days. …
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Posted in: CASS, ESMA, EU, FCA, MiFID, UCITS
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Jun19

FCA’s Review of Client Assets Regime for Investment Business CP 13/5 and PS 14/9

With the CASS Policy Statement now published the industry is turning its attention to the practicalities of implementation. Alongside our note on FCA’s decisions as set out in the PS, we are providing support to firms that are starting to …
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Posted in: CASS, FCA
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