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
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
FCA Alternatives Supervisory Strategy
Dear clients and friends, On 1st March 2024 the FCA published their interim update on its asset management and alternatives supervisory strategy. In this alert
