Brooklands Turns Five
Brooklands is pleased to celebrate its Five Year Anniversary in August 2016, Brooklands launched its first investment Fund, partnering with a Global Macro Portfolio Manager to set up a Cayman domiciled investment Fund. Mike Williams, Founding Partner and...
FCA Updates – July 2021
Topic : FCA proposing changes to streamline decision-making Date: 29th July 2021 Overview: The FCA is proposing changes to its decision-making process which will enable it to make faster and more effective decisions. This will help improve how the FCA...
FCA enforcement – July 2021
Topic : Ian Hudson sentenced to 4 years imprisonment for fraudulent trading and carrying on regulated activities without authorisation Subject of Enforcement: Ian Hudson Date of Notice: 26th July 2021 Overview: on 26th July 2021, at Southwark Crown Court, His Honour...
HM Treasury Consultation Paper proposes amendments to MiFID II
UK Treasury Announcement Indicates Preference Towards Attracting Business by Loosing of Regulatory Requirements as opposed to Maintaining Equivalence with The European Regulatory Infrastructure What Have the UK Treasury Announced? HM Treasury have released a Consultation Paper, the Wholesale Markets...
FCA enforcement – June 2021
Topic: Failing the FCA Threshold Conditions Subject of Enforcement: Gedik International LTD Date of Notice: 18th June 2021 Overview: On 27th March 2020, an application was received by the Financial Conduct Authority from Gedik International LTD to vary it Part 4A...
FCA Updates – June 2021
Topic : FCA Review: Authorised Fund Management Firms Date : 30th June 2021 Overview: FCA Review finds weaknesses in some ‘host’ Authorised Fund Management Firms’ Governance and Operations Following a review on a number of firms, the FCA has called...
Announcement – CISI Membership
Brooklands Co-CEO Authorised as a Member (MCSI) of the Chartered Institute of Securities and Investments (“CISI”) Brooklands is pleased to announce that its Founding Partner and Co-CEO has been authorised as a Member of the Chartered Institute of Securities and...
AMENDMENTS TO THE AIFMD MARKETING RULES
WHAT ARE THE PROPOSED CHANGES AND HOW WILL THEY AFFECT UK ASSET MANAGERS AND DISTRIBUTORS? What do the New Rules Cover and When will they be coming into Effect? On 2 August 2021, revised rules (the “Rules”) in relation to...