Regulatory risk | Réglementation et enquêtes
Less than one year to go! How FAR along is your organisation with implementation planning? (Part 2/3
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Nous conseillons les compagnies d’assurance sur la couverture en lien avec les réclamations contre les conseillers en investissement, les gestionnaires d’actifs et les fonds spéculatifs.
Nous possédons une vaste expérience dans la rédaction de polices traitant des questions de couverture et dans la prestation de conseils aux compagnies d’assurance et aux assurés pour la défense de réclamations complexes, dans un environnement en évolution et expansion constantes.
Notre équipe fournit une gestion des risques ciblée et des conseils adaptés aux pressions commerciales, réglementaires et de réputation auxquelles font face les professionnels de la finance. Nous pouvons fournir aux cabinets professionnels des services consultatifs en matière de gestion du risque général d’erreurs, d’omissions et d’atténuation du risque antérieur au litige. Nous conseillons également les compagnies d’assurance actives sur le marché de la responsabilité professionnelle en matière de rédaction de polices, et nous offrons des services de surveillance, de couverture et de notification de réclamations aux agences.
Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters
Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds
Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world
Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions
Acting for a well known national IFA network in relation to a series of frauds committed by an adviser
Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes
Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds
Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.
Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters
Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds
Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world
Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions
Acting for a well known national IFA network in relation to a series of frauds committed by an adviser
Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes
Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds
Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.
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