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Practice Areas

Financial Services Professionals

The Financial Services and Markets Act 2000 introduced a new regime for carrying out investment business in the United Kingdom whilst the Financial Services Authority Handbook and a raft of statutory instruments continues to lay down detailed requirements for professionals working in the financial services industry. We have been involved in such claims both under the current statutory regime and its predecessor the Financial Services Act 1986. Claims for pensions and investments mis-selling and other bad advice have long formed a significant part of many of our practices. We have brought to such claims our familiarity with the regulatory regime, including applicable conduct of business rules, and of the availability of remedies by way of the Financial Ombudsman Service and the Financial Services Compensation Scheme.

We have also been instructed in related judicial review applications. Our experience ranges from claims by individuals for sums which are relatively small (but important to them) to multi-million pound claims for mismanagement of funds, whether through incompetence or dishonesty.