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Searching Content indexed under Finance and Banking by Craig Neilson ordered by Published Date Descending.
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1
Priorities And Trends In FCA Enforcement – Where Should Firms Direct Their Resources?
The Financial Conduct Authority (FCA) recently published its latest Enforcement Annual Performance Report, covering the reporting year ending 31 March 2019.
UK
23 Aug 2019
2
Regulators Give Evidence On IT And Systems Failures
Representatives of the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and the Bank of England recently gave evidence to the House of Commons Treasury Select Committee in relation to IT failures in...
UK
13 Aug 2019
3
SMCR – The Countdown Has Started
On 4 July, the FCA finally published a policy statement (PS18/14) containing feedback and the near-final rules on the extension of the Senior Managers and Certification Regime (SMCR) to FCA solo-regulated firms.
UK
26 Jul 2018
4
Is It All Getting A Bit Out Of Hand? FCA Consultation Paper 17/40 On Transitioning FCA Firms And Individuals To The Senior Managers And Certification Regime (SMCR)
The FCA has proposed different categories of SMCR firm. Core scope SMCR firms will be subject to a "baseline" of requirements.
UK
30 Jan 2018
5
Privy Council Decision On Pre-Contract Representations In A Commercial Borrower-Lender Relationship
In November 2017, the Board of the Judicial Committee of the Privy Council (the Board) gave judgment on an appeal against, inter alia, liability under a commercial loan ...
UK
19 Jan 2018
6
Application For Summary Judgment Granted After Nine-Day Hearing
At first glance, it may seem something of a contradiction to hold a summary judgment hearing over nine days.
UK
19 Jan 2018
7
Quantum Of Damages Where Loan Advanced On The Basis Of A Negligent Valuation
In what Lord Sumption described as a "perfectly straightforward" result, the Supreme Court has considered the approach to determining the quantum of damages in a case where a property was negligently overvalued.
UK
19 Jan 2018
8
Choice Of English Governing Law Upheld Over Arguments Of Non-Shariah Compliance
In 2007, Dana Gas raised US$1 billion of financing (restructured in 2013) through the issue of Trust Certificates (Sukuk).
UK
19 Jan 2018
9
Duty Of Care Owed By Arranger In Relation To The Execution Of Sukuk Documents
This case concerned the inability of the claimants to recover sums pursuant to a promissory note (the Promissory Note) which formed part of the transaction documents for a sukuk ...
UK
19 Jan 2018
10
Unfair Relationships Under The Consumer Credit Act 1974
In this case, the High Court considered: (1) whether the claimant (the Bank) was estopped from exercising its right to demand repayment and enforce security over the Defendants' assets ...
UK
18 Jan 2018
11
Meaning Of Financial Institution And Right Of A Party Already In Default Under An ISDA Master Agreement To Terminate For The Default Of The Other Party
This claim was brought by the joint administrators of Olympia Securities Commercial Plc (the Company), a property developer. The dispute, however, was in reality between the two defendants.
UK
18 Jan 2018
12
Successful Claim For Damages For Breach Of FCA Rules In Relation To Advice And Whether A Decision Said To Amount To "Financial Suicide" Should Affect Causation
This claim related to investment advice allegedly given in breach of FCA rules. The claimants were a wealthy Kuwaiti family comprising a father and his three sons ...
UK
18 Jan 2018
13
Claim For Breach Of Mandate And Failure To Operate Stop Loss Protection Upheld Against Discretionary Fund Manager
This case concerned the claims of Mr Rocker (a successful businessman) against Full Circle Asset Management Limited (FCAM) ...
UK
18 Jan 2018
14
Unwinding A Loan Participation Where The Deadline For Meeting A Condition Has Expired
In October, the High Court held that the buyer of a portion of a loan facility was entitled to unwind its participation where the deadline for meeting a condition had expired.
UK
18 Jan 2018
15
Fetters On Contractual Discretion
BHL was successful in its claim against Leumi ABL Limited (Leumi) on the basis that Leumi had not been entitled to charge a collection fee of 15 per cent under a receivables finance ...
UK
18 Jan 2018
16
Situs Of The Debt Owed Under Letters Of Credit
In February 2013, Taurus Petroleum Limited (Taurus) obtained a final award in arbitration proceedings against State Oil Marketing Company of Iraq (SOMO).
UK
18 Jan 2018
17
Agency, Effect Of A Bribe On The Enforceability Of A Contract By A Third Party, And The Effect Of A Conflict Of Interest
Kommunale Wasserwerke Leipzig GmbH (KWL) is the municipal water company of Leipzig. It was run at all relevant times by two individuals, Mr Heininger and Dr Schirmer.
UK
18 Jan 2018
18
Acceptance Of Settlement Offer As Part Of IRHP Review Precluded Subsequent Claim For Consequential Loss
In July, HHJ Moulder struck out a claim by a property developer (Cameron), for consequential losses allegedly incurred as a result of entering into an interest rate swap.
UK
18 Jan 2018
19
No Duty Of Care Owed By Banks To Customers In Relation To IRHP Review – January 2018
The Court of Appeal decided that banks do not owe a duty of care to customers in relation to their conduct of the review agreed between the banks and the Financial Conduct Authority ...
UK
18 Jan 2018
20
Who Can Sue For Breach Of The Non-Payment Terms Of A Bearer Note? (January 2018)
Secure Capital SA (SC) was the owner of the entire beneficial interest in a series of notes issued by Credit Suisse (the Notes).
UK
17 Jan 2018
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