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Results: 1-10 of 87

Has the FOS decided Lehman's collapse was not foreseeable; or is that too remote a hope?
  • RPC
  • United Kingdom
  • July 15 2014

Nearly six years have elapsed since we first saw the iconic photographs of Lehman Brothers' employees filing out of the former bank's worldwide


Is credible deterrence really working? And other questions arising from a mixed week for the FCA
  • RPC
  • United Kingdom
  • May 28 2015

Even though the FCA was able to trumpet that it had imposed its highest ever fine and that it had been successful in two decisions handed down by the


New financial super court to further enhance London's profile as a financial dispute hub
  • RPC
  • United Kingdom
  • July 16 2015

After a period of consultation, the Lord Chief Justice announced at his Mansion House speech on 8 July 2015 that a new specialist list dealing with


Financial Litigation roundup - Winter 2015
  • RPC
  • Hong Kong, Singapore, United Kingdom
  • December 17 2015

The High Court clarified the duties owed by financial institutions when providing regulated investment advice and conducting subsequent reviews of


FX trader fails in third-party rights challenge to FCA
  • RPC
  • United Kingdom
  • January 18 2016

The Upper Tribunal has rejected the well-publicised complaint by Christopher Ashton that the FCA identified him in two decision notices without


Deal or no deal: FOS recommends taking legal advice following Clark v In Focus
  • RPC
  • United Kingdom
  • March 13 2014

Reacting to the decision in Clark v In Focus, FOS has updated its technical notes to help guide complainants who might have previously sought to top


Financial litigation roundup - Summer 2014
  • RPC
  • Hong Kong, United Kingdom
  • June 24 2014

The Financial Conduct Authority (FCA) and the German financial markets regulator, BaFin, are currently investigating manipulation of the “London gold


FOS does not breach human rights
  • RPC
  • United Kingdom
  • July 7 2011

The FOS’s compliance with fundamental principles of justice was thrown into the spotlight by last week’s ECHR decision in the cause célèbre case of Heather Moor & Edgecomb Limited (HME) v UK (FOS


Breaching the perimeter twice could be enough to be ‘by way of business’
  • RPC
  • United Kingdom
  • June 1 2012

The Court of Appeal has held that an individual who accepted deposits on two separate occasions, that were over 18 months apart, may be liable to conviction for carrying on an unauthorised regulated activity, contrary to the general prohibition (s.19 and 23 FSMA 2000


All aboard the causation bandwagon
  • RPC
  • United Kingdom
  • October 14 2011

Like the proverbial buses that eventually arrive in pairs, at a time when there has been much controversy about the issue of causation, it is ironic that there have now been two significant High Court judgments setting the position within the regulated sector in stark contrast to the general law as interpreted by the Courts