OVERVIEW
Investors and shareholders require specialist advice to bring successful claims for compensation in cases of financial loss. At the same time, financial services firms need advice to manage the risks around claims which are or could be brought against them by investors, customers, and other stakeholders. We represent private individuals and financial institutions in some of the largest and most innovative claims in this area.
We also advise financial services firms in relation to navigating regulatory investigations and enforcement action.
INVESTMENT LOSS / MISSELLING CLAIMS
We have acted against banks, financial institutions, asset managers, and the promoters and managers of failed collective investment schemes, taxation mitigation schemes and fund-raises.
The claims we have handled have raised issues related to the proper performance of duties owed under the applicable financial services regulations, the appropriateness of advice given in connection with failed investment products, and the performance of duties owed in the context of debt finance for purchasing investment assets.
Our work includes:
- acting for the claimants in Commercial Court claims worth at least US$500 million against the investment bank UBS in connection with the leveraged acquisition of a security on the Hong Kong stock exchange;
- representing thousands of investors who are pursuing claims against the Link Fund Solutions in relation to its supervision of the Woodford Equity Income Fund and its performance of duties as prescribed under the FCA rules.
We have good links with the financial advisory industry and have worked alongside as well as against Independent Financial Advisors (IFAs), Discretionary Fund Managers (DFMs) and other professionals with extensive industry experience.
FINANCIAL REGULATORY DISPUTES
We act on contentious financial regulatory matters, offering out clients guidance in navigating regulatory investigations and enforcement action. This includes managing responses to regulatory questioning, as well as addressing the sensitive issues that can arise during this process.
KEY CONTACTS
