Category Archives: FCA
Happy New Decade
At the beginning will be Brexit. At the end will be Brexit. And in between it will mainly be Brexit. I hope that those remarks relate to 2020, not to the whole decade, but I am probably wrong. There will …
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Tagged in: Acquisition of research, Assessment of value, asset management market study, BREXIT, Engagement Policy, EU, FCA, FIIA, Independent Directors, investment research, Liquidity, MiFID, NURS, Passport, senior managers regime, SMCR, SRD II, UCITS, Woodford
Stressing the Directors
As we may have mentioned before, the FCA is a trifle concerned about the liquidity of investment funds. Some would say that the threat to the career of its Chief Executive was good reason for the organisation to focus the …
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Tagged in: AFM, asset management market study, Authorised Fund Managers, EU, FCA, Independent Directors, Liquidity, Liquidity Management, Stress Testing, UCITS, Woodford
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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Tagged in: Al Sanea, Attribution, CASS, Client money, Client Payments, Daiwa, Doubtful solvency, Expert Wtiness, FCA, Financial Crime, Liability, Oliver Lodge, Risk, Singularis, Supreme Court, Suspicious instructions