We use cookies to improve your website experience. To learn about our use of cookies and how you can manage your cookie settings, please see our Cookie Policy. By continuing to use the website, you consent to our use of cookies. Close


Professional Negligence and Liability

Chapter 12 FINANCIAL ADVISERS - authored by Simon Beckwith, Adam Temple and Adam Tolley I. INTRODUCTION AND GLOSSARY OF TERMS 1. Categories of financial advisers dealt with in this chapter 12.1 This chapter deals with the professional duties owed by financial advisers to their clients and the consequences of a breach of duty. The term “financial adviser” is simply a descriptive term referring to a person who gives advice on financial matters. But this chapter deals only with those whose job it is to give financial advice and who do so either as authorised persons under the Financial Services and Markets Act 2000 (“FSMA”) or in the course of working for such a person in accordance with the requirements of that Act. 1 Generally, those advisers will give advice to ordinary members of the public in relation to investments, insurance, mortgages and related matters.

The rest of this document is only available to i-law.com online subscribers.

If you are already a subscriber, please enter your details below to log in.

Enter your email address to log in as a user on your corporate account.
Remember me on this computer

Not yet an i-law subscriber?


Request a trial Find out more