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Attention all Northern Rock shareholders

We are aware that many Northern Rock shareholders are being targeted via scams to purchase their shares. The scammers are very good at mimicking genuine companies to gain your trust. You can read more about this type of scam on the FCA website here

An Investor Approach to Sanctions

Scanning for sanctions – a necessary due diligence activity?  Paul Malone says ‘yes’.   And managing the consequences can be challenging.

Paul Malone was our speaker and facilitator for our 17th August virtual meeting.  He covered the period from early 2022 when sanctions were applied to two of his share holdings, Evraz and Polymetal.  Discussion points included:

Introducing a gateway for firms who approve financial promotions.

Question: why should unauthorised firms be allowed to promote and sell their products at all in the UK?

Answer: we don’t know.

But there are many non‑compliant promotions being approved and then communicated by unauthorised firms to retail consumers resulting in harm because of inappropriate marketing and targeting.

Currently, any authorised person can generally approve financial promotions for

The new Audit Committee Standards – should we future proof them? That is the question.

Why not make this standard the minimum requirements expected of audit committees?

Why not use the standard to anticipate the wider authority ARGA will have?

The proposed standard is minimalist.  It limits focus on just some aspects – tendering, oversight of auditors and audits, and reporting. 

There are other responsibilities such as reviewing the company’s internal financial controls, and monitoring and reviewing the effectiveness of the company’s internal audit function.  These are absolute musts to ensure we can have an effective audit.

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