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Financial Services Litigation

HHJ Jonathan Russen QC, Robin Kingham

Abstract

The material covered in this book is both broad and highly focused. It is broad in that it covers matters of civil, criminal, administrative, and public law. It is highly focused in that it is intended to act as a practical handbook for litigators; detailed explanations are given of practice, procedure, evidence, and remedies at the expense of general commentary on the non-contentious aspects of financial regulation. The book begins with an overview of the UK financial regulators whilst paying particular attention to the relationships between them and the ways in which those interactions can pose problems for litigators and the firms they represent. It summarizes the authorisation process and its procedures, and considers the authorisation of EEA firms following Brexit with a focus on procedure and the steps necessary for EEA firms to retain their authorisation following the UK’s withdrawal from the EU. The book then deals with the increasingly important topic of investigations and information gathering. The heart of the book covers the various forums in which firms can be challenged for failing to adhere to regulatory standards. Criminal liability is covered in detail across two chapters, as is civil liability, which is followed by a review of individual action by investors and consumers. The book continues with redress, complaints, the Financial Ombudsman Service, and relevant procedure are analysed, with a final chapter providing an overview of the independent methods of challenging regulators, including judicial review and the Financial Services Complaints Commissioner.

Bibliographic Information

HHJ Jonathan Russen QC, author

Robin Kingham, author


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Contents

Financial Services Litigation by Russen QC, HHJ Jonathan; Kingham, Robin (10th March 2020)