Jun 14, 20212 min readPlanning a partial return to the office?Adempi’s guides raise the lid on what FCA regulated firms need to consider in managing a more dispersed workforce than ever before.
Jun 2, 20212 min readNew treatment for venture capital investments?Venture capital investments may also be re-classified as speculative illiquid securities which would signal an end to retail investment.
Apr 26, 20212 min read3 Lessons from the Treasury’s LCF statementThree aspects of the LCF case struck a chord with Treasury and may be a useful reminder to regulated firms
Mar 31, 20212 min readCould your Wind Down Plan trigger a liquidity requirement?The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
Jan 28, 20211 min readAdvising on business relief opportunities Assessing business relief opportunities can be a complex business. Individuals often approach financial advisers to guide them on the...
Dec 16, 20202 min readConfirmation of the ban on the marketing of speculative illiquid securitiesIt will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
May 29, 20201 min readWill the gap close? Safeguarding vs holding client moneymore focus is being placed on an area that has needed looking at for some time: the difference between the CASS and the safeguarding rules
May 27, 20202 min readWind down planning is here to stayHow ready is your wind down plan? You won't be alone if the need for such a plan sounds like a new development, but all of the regulator's
May 25, 20202 min readWeathering the storm and mending the roofGillian Roche-Saunders talks to Sophie Myers about business resilience and managing risk in tempestuous times - an excerpt from the CISI Re
