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Results: 1-10 of 97

Third Party Rights and the SMR and SIMR: the regulators' Achilles' heel?
  • RPC
  • United Kingdom
  • October 26 2016

The FCA has recently gone to the Supreme Court in an attempt to overturn a significant ruling in relation to third party rights. This could have


First reported interest rate swap mis-selling claim crumbles
  • RPC
  • United Kingdom
  • January 29 2013

Interest rate hedging products are sold in a variety of forms swaps, caps, collars and structured collars, to name but a few. Their objective is to


A new and better approach to claims against financial adivers?
  • RPC
  • United Kingdom
  • October 3 2016

A Judge has found in favour of Coutts in a claim for negligent investment advice for just under £3.3m plus interest. The Judge's findings are of


FOS leaving way open for consumers to seek top-up compensation on complaints, despite court closing “loophole”
  • RPC
  • United Kingdom
  • September 8 2014

Financial services companies put at disadvantage as claimants allowed second bite of the cherry; consumers warned court costs could eat up


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


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


Class actions in the UK - the Financial Services Bill
  • RPC
  • United Kingdom
  • March 22 2010

D&O and PI insurers could face an increase in high-value claims if the Financial Services Bill, currently at the Committee Stage in the House of Lords, is adopted


'The catalyst effect': does the buck stop with the Upper Tribunal?
  • RPC
  • United Kingdom
  • September 22 2015

I recently blogged on the Upper Tribunal's judgment on the case of Roberts and Wilkins v FCA. The Tribunal had agreed with the FCA's decision to


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


Misselling of leveraged notes: not a marginal call
  • RPC
  • United Kingdom
  • April 16 2013

In Al Sulaiman v Credit Suisse Securities (Europe) Limited the Commercial Court considered a claim for breach of duty in recommending investments