Judd Advisory is a regulatory compliance consultancy, servicing the investment and asset management sectors
As a client service business we are committed to being available and responsive to our clients. We are focussed on delivery – we have been in-house and have sat in our clients’ chairs and appreciate that the to-do list is long enough already. We believe in helping our clients get things done, not adding to the list.
On Our Radar
FCA’s Data Led Enforcement – Enforcing Minimum Standards
Data Led Enforcement – Enforcing Minimum Standards When thinking of enforcement action by financial regulators it is the images of insider dealers being led away
Back to the Future – Part III – Joint Payments (fka Bundled Commissions)
As referenced in our alert from May, the FCA has now released Policy Statement PS24/9 Payment Optionality for Investment Research. The Policy Statement and release
Criminal Background Checks for Controllers
July 2024 Dear Clients and Friends, Criminal Background Checks on Controllers A brief but potentially important update from the FCA…you may have missed it but
Year of the Election and Political Donations
June 2024 Dear Clients and Friends, Political Donations – What is the issue? We are all aware that 2024 is the year of the election
Market Surveillance – Lessons from Failures
May 2024, Dear clients and friends, A recent market watch newsletter (Market Watch 79) saw the FCA return to the topic of market abuse surveillance
Bundled Commissions, FCA Sustainabilty Disclosures and more
Dear clients and friends A mix of news for you in this alert, from bundled commissions to the FCA’s SDR and labelling regime to the