Financial Services
The financial services industry is still one of the most heavily-regulated in the UK - FSA enforcement being a particularly hot issue at present. The findings of an extensive review of its operations was published in July 2005 following much criticism over the case against Legal & General earlier in the year. Pledging new levels of transparency and fairness, the FSA has been keen to prove itself. It has recently sent a message to the industry in its fines of GLG & Philippe Jabre.
Our specialist group has a recognised expertise in resolving disputes for those involved in the financial services industry. We can protect your interests and reputation, whilst helping you to achieve your goals in the most efficient way possible.
We advise on all forms of financial services dispute, both in front of the regulator and in private litigation. These include disputes relating to:
- FSA issues
- Market abuse
- Insider dealing
- Breach of listing rules
- Breach of conduct
- Compliance failings
- Breach of contract
- Mis-selling
- Misrepresentation
- Breach of fiduciary duties
- Network disputes.
For further information about our services or to discuss a particular matter or situation, please contact Adam Epstein on +44 (0)20 7440 7102 or by email.
Work Highlights
We have acted in cases involving:
- FSA investigations and FSA pre investigations.
- The Regulatory Decisions Committee of the FSA.
- A Section 166 investigation.
- Representation of employees carrying out controlled functions, facing disciplinary action by their employers, the FSA and the exchanges on which they operate.
- Disputes between owner managers of regulated entities.
- A dispute between a network and IFAs.
- Pensions mis-selling.
- Mis-selling of products and misfeasance by regulated entities.
- Action taken by the SEC.
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