Nikesh Pandit @ 4-5 co-authors article on the often tricky and broad financial services regulated activity of ‘making arrangements with a view to transactions in investments’ (Article 25(2) RAO).
Nikesh Pandit, member of 4-5’s Regulatory, Professional Discipline and Business Crime team, and Kristen DiLemmo, financial regulation associate at White & Case LLP, co-author article on the often tricky and broad financial services regulated activity of ‘making arrangements with a view to transactions in investments’ (Article 25(2) RAO). They consider the High Court’s recent guidance in Financial Conduct Authority v Avacade Ltd (In Liquidation) & Others [2020] EWHC 1673 (Ch) in relation to the scope of Article 25(2) RAO. This article is useful reading for those active in the financial intermediaries, introducers, fund management and digital/ecommerce space.
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