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

A Spring flowering of financial services court decisions

Compliance Monitor

A Spring flowering of financial services court decisions

The vernal months produced an array of judicial opinions – on whether a WhatsApp trading tip service constituted a regulated activity, LCF compensation, the nature of a complaint, as well as culpability for non-disclosure of insurance and other non-investment commission. Adam Samuel digs into the judgments.

There was a sudden peculiar rush of highly relevant court decisions on financial services compliance issues at the end of March 2021 and into April. The Adams v First Options [1] case led the way with a devastating indictment of the sleazy part of the self-invested personal pensions (SIPP) industry. That is the subject of a separate article. [2]

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