The United Kingdom’s client assets regime: Problematic issues of threshold application

Carl Fernandes and Kishore Bhindi
Additional contact information
Carl Fernandes: Partner, Latham & Watkins, UK
Kishore Bhindi: Associate, Latham & Watkins, UK

Journal of Financial Compliance, 2021, vol. 4, issue 3, 222-231

Abstract: This paper considers certain difficult legal threshold matters of application in relation to the United Kingdom’s client assets regime. Consideration of such matters is especially timely as the regime transitions from a period of rapid change to a more business-as-usual environment. Topics covered include title transfer collateral arrangements, mandates and evidencing compliance with the Senior Managers and Certification Regime.

Keywords: client assets; client money; TTCA; best interests; appropriate (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2021
References: Add references at CitEc
Citations:

Downloads: (external link)
https://hstalks.com/article/6271/download/ (application/pdf)
https://hstalks.com/article/6271/ (text/html)
Requires a paid subscription for full access.

Related works:
This item may be available elsewhere in EconPapers: Search for items with the same title.

Export reference: BibTeX RIS (EndNote, ProCite, RefMan) HTML/Text

Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2021:v:4:i:3:p:222-231

Access Statistics for this article

More articles in Journal of Financial Compliance from Henry Stewart Publications
Bibliographic data for series maintained by Henry Stewart Talks ().