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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]

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