Articles

Results 1 to 5 of 37
Most popular |Most recent


FCA v Macris: restrictive meaning of "identifies" under s393 FSMA 2000

United Kingdom - May 3 2017 Supreme Court overturns the findings of the Court of Appeal and the Upper Tribunal and adopts a restrictive meaning of the word "identifies" in s393...

Senior Management Regime: top tier enforcement risks

United Kingdom - December 16 2016 Authorised financial services firms are mid-way through the transition to a new three-tier regime for the regulation of individuals. This update looks...

Suitability and the duty of care in investment advice - developments to watch for in 2017

United Kingdom - December 13 2016 In considering whether a professional acted negligently, lawyers know to apply the test from the 1957 case of Bolam v Friern Barnet Hospital...

Possible FOS liability for SIPP providers over esoteric investments

United Kingdom - September 8 2016 A husband and wife each invested £40,000 from their Berkeley Burke-administered SIPPs into storage pods developed by Store First following a cold-call...

Stay of proceedings allows dispute to be brought before Financial Ombudsman Service

United Kingdom - August 31 2016 The claimants brought proceedings against NatWest and RBS alleging that they had been negligently advised. Proceedings had been issued in the...