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Category Archives: CASS
Feb20
FCA Reviews
As FCA reveals its supervision plans, firms need to pre-empt No one can say they did not know it was coming. The FCA is getting ever more explicit about its immediate concerns and supervision plans. As we noted at New …
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Posted in: Assessment of Value, Asset Management Market Study, CASS, MAR, MiFID, Senior Managers Regime, UCITS
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
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
Aug6
Supreme Court hears a Firm’s Client that was Defrauded by its own Owner Director
At the end of July, the Supreme Court heard the ultimate appeal by Daiwa Capital Management against the judgment of the Court of Appeal in the case of Singularis v Daiwa, in which Oliver Lodge acted as expert witness. Whether …
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Posted in: CASS
Tagged in: Client money, Daiwa, Expert Wtiness, Liability, Risk, Singularis, Supreme Court
Tagged in: Client money, Daiwa, Expert Wtiness, Liability, Risk, Singularis, Supreme Court