FCA Updates – May 2021
“Why Diversity and Inclusion are regulatory issues” 17/03/2021 Nikhil Rathi, the CEO of the FCA delivered a speech at the launch of the HM Treasury Women in Finance Charter Annual Review in March 2021 in which explained that the FCA...
THE FCA HAS LAUNCHED A CONSULTATION PROCESS IN RELATION TO POTENTIAL CHANGES TO MIFID
FCA takes first steps in using increased independent powers derived from Brexit to boost the UK as an investment friendly jurisdiction The FCA has launched a consultation process in relation to potential changes to MiFID’s conduct and organisational requirements....
FCA enforcement – May 2021
Topic: FCA Disciplinary Process Subject of Enforcement: LF Woodford Equity Income Fund Date of Notice: 28 May 2021 Overview: On 28 May 2021, Nikhil Rathi, the Chief Executive of the FCA wrote to Rt Hon. Mel Stride MP, Chair of the Treasury Select...
REGULATING THE UK AS A GLOBAL FINANCE CENTRE
Nausicaa Delfas, the Executive Director of International, Interim Chief Operating Officer and a member of the Executive Committee at the FCA delivered a speech at the City & Financial Global’s Future of UK Financial Services Regulation Virtual Summit in April...
BROOKLANDS JOINS AIMA
Brooklands is pleased to announce its Membership of the Alternative Investment Managers Association (AIMA). AIMA has a proven track record acting as the representative of the alternative investment industry. They have demonstrated an ability to coordinate the interests of its...
FCA Updates – April 2021
“Regulating the UK as a Global Financial Centre in the Post-Brexit Landscape” 26/04/2021 Nausicaa Delfas, the Executive Director of International, Interim Chief Operating Officer and a member of the Executive Committee at the FCA delivered a speech at the City...
FCA enforcement – April 2021
Subject of Enforcement: Larry Barreto and Tassib Hussain Date of Notice: 22 April 2021 Overview: Following an investigation, the FCA has commenced criminal proceedings against Larry Barreto and Tassib Hussain. The proceedings relate to an offence of conspiracy to commit fraud by false...