Category Archives: FCA
Jan2
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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Posted in: Assessment of Value, Asset Management Market Study, Brexit, EU, FCA, MiFID, Senior Managers Regime, UCITS
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
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
Dec6
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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Posted in: Asset Management Market Study, EU, FCA, UCITS
Tagged in: AFM, asset management market study, Authorised Fund Managers, EU, FCA, Independent Directors, Liquidity, Liquidity Management, Stress Testing, UCITS, Woodford
Tagged in: AFM, asset management market study, Authorised Fund Managers, EU, FCA, Independent Directors, Liquidity, Liquidity Management, Stress Testing, UCITS, Woodford
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
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
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