FCA Updates – December 2021
Topic: Highlights of the FCA’s new approach in 2021 Date: 31/12/2021 Overview: The Financial Conduct Authority’s (FCA) has provided a press release reflecting on their activities in 2021. They reiterated their mission statement which is to protect consumers from harm,...
FCA enforcement – December 2021
Topic: Craig Whyte appears at court for failing to provide key passwords for seized devices Subject of Enforcement: Craig Whyte Date of Notice: 22/12/2021. Overview: Craig Whyte appears at court for failing to provide key passwords for seized devices In a...
Brooklands establishes investment management capabilities in Ireland
Brooklands has been authorised by the Central Bank of Ireland to act as the investment manager for Irish authorised investment funds.
FCA Updates – November 2021
Topic: FCA acts to help investors make more informed ESG investment decisions Date: 03/11/2021 Overview: The FCA is committed to helping investors put environmental, social and governance (ESG) matters at the heart of their investment decisions. Findings from the Financial...
FCA enforcement – November 2021
Topic: FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading. Subject of Enforcement: Sunrise Brokers LLP Date of Notice: 12/11/2021. Overview: This is the second case brought by the FCA in relation...
Overview of Proposals in the AIFMD Draft Proposal
Below is a high level overview of anticipated proposals contained within the AIFMD Draft Proposal announcement. These proposals will be scrutinized by the European Council and the European Parliament before implementation into law. The objective of these proposals is to...
Overview of Anticipated Proposals for Change to AIFMD
Overview of Anticipated Proposals in the AIFMD Draft Proposal Below is a high level overview of anticipated proposals contained within the upcoming AIFMD Draft Proposal announcement. This document is for Brooklands internal reference. Delegation No significant changes are planned for...