... © Emerald Group Publishing Limited 2011 United Kingdom Legal decisions Financial services Insurance Compensation In developing their first ground of challenge the claimants sought to argue that the effect of section 150(2) FSMA 2000, as well as statements made by FSA about...

... the client sufficient time to consider the implications of being classified as an intermediate customer; and (iii) has obtained the client's written consent, or is otherwise able to demonstrate that informed consent has been given. Legal decisions Financial services Banks High Court...

... to be borne by those firms that the FSCS classified as “investment intermediaries”. Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2011 Legal decisions Financial services R v. Financial Services Compensation Scheme Ltd...

...: Date of Judgment: 2 August 2010. Re Lehman Bros International (Europe) (in Administration) (Court of Appeal: Civil Division: Lord Neuberger, Lady Justice Arden and Sir Mark Waller). Legal decisions Courts of appeal © Emerald Group Publishing Limited 2011 Joanna Gray can...

... Justice Stanley Burnton made clear the importance the Court of Appeal attached to the public interest in regulatory co‐operation and mutual assistance when he began his analysis of the six legal issues with the words: © Emerald Group Publishing Limited 2010 Legal decisions Courts of appeal...

... resulting from the ultimate uncertainty that besets every market place and simply reasserts that ex ante contractual loss allocation agreed between commercial parties will not be lightly set aside. © Emerald Group Publishing Limited 2010 Legal decisions Banks Derivative markets...

... and onwards into its economy. The geopolitical shifts and fault lines of the global financial system do not often surface so clearly in a UK Court of Law and this case will certainly not be the last time that they do. © Emerald Group Publishing Limited 2010 Legal decisions Banks United Kingdom...

... September 2005, Mr Lewis asked the FSA to review its decision. The FSA responded on 8 November 2005 to the effect that it stood by its original decision. © Emerald Group Publishing Limited 2010 Legal decisions Disclosure Financial Services Authority v. Information...

... 2009 (Court of Appeal). (SRM Global Master Fund v. Commissioners of HM Treasury: High Court (QBD Divisional Court) Lord Justice Stanley Burnton, Mr Justice Silber: Court of Appeal (Civil Division) the Master of the Rolls, Lord Justice Waller and Lord Justice Laws). Legal...

... value at the time of its transfer under the agreement. (9) The commission of an authorisation offence does not make the agreement concerned illegal or invalid to any greater extent than is provided by section 26 or 27. Legal decisions Insurance services Insurance liability Re Whiteley...

... that the implied exception did not have that effect and had applied only to hearsay evidence – how dealt with and rendered admissible by the Civil Evidence Act 1995. Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2009 Courts of appeal Legal decisions...

... included the following provisions: Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2009 Legal decisions Compensation Financial services Financial Services Compensation Scheme Ltd v. Abbey National Treasury Services plc...

... … ” And if he were wrong on that then he ruled in the alternative that: Legal decisions Pensions Financial services […] Mr Shore must have suffered loss no later than in early 1999 when annuity rates had fallen to a new low. Once this happened, it was clear that he was financially worse off than he...

... the parameters of the case itself. Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2008 COB 7.9.3 R requires that a firm must not lend money or grant credit to a private customer in the course of its investment business unless: Legal...

... given by the investors. Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2008 Legal decisions Financial services First, the privilege applies to communications for the purpose of receiving legal advice not only with a lawyer...

... improve and carefully document customers' understanding of the true relative risks of such arrangements. Legal decisions Pensions Shore v. Sedgwick Financial Services Ltd & Others (High Court of Justice: Mr Justice Beatson). Date of judgment: 8 November 2007...

... it considered as “boiler rooms” and which it did not. Legal decisions Tribunals Fox Hayes v. Financial Services Authority (Financial Services and Markets Tribunal (FIN/2006/0015): Dr N. Brice, Mrs C E Farquharson, Miss S C O'Neill). Date of decision: 25 September 2007...

... directive which underlies the claim of state liability made by the appellants in this appeal he further commented: Joanna Gray can be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2008 Legal decisions Insurance Underwriting Poole and Others v. HM...

... provides: Joanna Gray can be contacted at: Joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2008 Legal decisions Senior managers (Jan Laury v. Financial Services Authority, Case no 046 Financial Services and Markets Tribunal; Andrew Bartlett QC as Tribunal...

...‐cross the same factual domain. © Emerald Group Publishing Limited 2008 Legal decisions Insolvency Laws and legislation (Re David M Aaron (Personal Financial Planners) Ltd; Secretary of State for Trade and Industry v. Aaron and others: Chancery Division: Mr Robin...