The perils of unregulated introductions – postscript to Adams v Options SIPP after Avacade

Introduction In a previous article , we discussed in detail the judgment of the Court of Appeal judgment in Adams v Options UK Personal Pensions LLP [2021] EWCA Civ 474. In that case, an unregulated introducer was held to have carried out the regulated activity of making arrangements with a view to a person buying or […]

24th September 2021

Adams v Options SIPP: the perils of unregulated introductions

Introduction The Court of Appeal’s recent judgment in Adams v Options UK Personal Pensions LLP [2021] EWCA Civ 474  has the potential to have very significant implications for “execution-only” SIPP providers and others in the regulated sector who accept clients brought to them by unregulated introducers. If the unregulated introducer oversteps the mark and undertakes […]

2nd June 2021

Promoting unregulated investments: it’s the reality of the relationship that counts (FCA v Avacade)

In FCA v Avacade [2020] EWHC 1673 (Ch) the High Court considered several points important for the financial services sector (particularly for unregulated entities), practitioners, and the regulator. Kajetan Wandowicz has written an analysis of the judgment for LexisNexis PSL. The Defendants purported to outline to their customers the options available to them for dealing […]

6th July 2020

Construction Newsletter – How far can you go? Anti-suit injunctions, interim relief and ICC Arbitration Rules: SRS v Chemie Tech

Introduction and background The ICC Arbitration Rules permit parties to seek interim relief before courts in support of an arbitration. But it is a breach of any exclusive arbitration clause to seek a substantive ruling from a court on issues which should be referred to an arbitration. Where, then, is the dividing line between interim […]

12th November 2020

UK Government’s “Guidance on responsible contractual behaviour” – toothless for now, but laying foundations for further measures

On 7 May 2020, the Government published a document entitled “Guidance on responsible contractual behaviour in the performance and enforcement of contracts impacted by the COVID-19 emergency” (the “guidance”). In this short article, Sean Brannigan QC and Kajetan Wandowicz summarise the guidance, and discuss its potential implications for commercial parties. It was prepared jointly by the Cabinet Office and […]

12th May 2020

Construction Newsletter – The TCC throws a spanner in the works of expert witness firms

Summary In what is likely to be a significant blow to firms providing expert witness services, the TCC has recently issued a judgment that may heavily curtail their activities. In a decision issued last week in A Company v X, Y, Z [2020] EWHC 809 (TCC) the claimant succeeded in continuing an injunction restraining the […]

9th April 2020

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