Category Archives: FCA

Nov1

Singularis v Daiwa: Supreme Court Judgment A case with “far-reaching implications” (FT) Oliver Lodge as Expert Witness

Despite limited press attention, the Supreme Court judgment delivered in late October in the case of Singularis v Daiwa should be of considerable interest and concern to regulated financial services firms in this country. The case began three years earlier …
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Posted in: CASS, FCA
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Oct24

A Liking for Liquid Assets

Despite Brexit, the FCA continues to supervise the financial services industry and even to take stock of the appropriateness of the obligations that it imposes. In fact, something approaching normal life continues. As Andrew Bailey keeps on saying, financial services …
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Posted in: Brexit, EU, FCA, UCITS
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Sep30

D-Day for Independent Directors

Independent Directors must now be in place at all authorised fund managers (AFMs). They must comprise at least 25% of the Board, subject to a minimum of two. There can be no doubt that FCA will: Check to see that …
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Posted in: Assessment of Value, Asset Management Market Study, FCA
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