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  3. Professional Indemnity

Financial Services

View Financial Services Insights

Our specialist financial professions team is renowned for its financial services and dispute resolution capabilities.

We advise insurers on coverage in relation to claims against investment advisers, asset managers and hedge funds.

We have considerable experience in drafting polices dealing with coverage issues and advising insurers and the insured on the defence of complex claims, in what is a continually changing and expanding.

Our team provides focused risk management and advice tailored to the commercial, regulatory and reputational pressures financial professionals face. We can provide general errors and omissions risk management and pre-litigation risk mitigation advisory services to professional firms. We also advise insurers active in the professional liability market on policy drafting, and offer monitoring, coverage and claims notification agency services.

Our Financial Services Work

  • All
  • UK & Europe

  • Acting for a wealth management firm

    Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters

    United Kingdom

    Acting for IFAs

    Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds

    United Kingdom

    Acting in relation to a series of unregulated investments

    Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world

    United Kingdom

    Acting in relation to civil and regulatory exposures

    Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions

    United Kingdom

    Acting on a series of frauds committed

    Acting for a well known national IFA network in relation to a series of frauds committed by an adviser

    United Kingdom

    Defending claims in respect of mortgage products

    Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes

    United Kingdom

    Negligent advice in relation to high risk investments

    Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds

    United Kingdom

    Tax and M&A advice when acquiring a British publishing business

    Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.

    United Kingdom

  • Acting for a wealth management firm

    Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters

    United Kingdom

    Acting for IFAs

    Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds

    United Kingdom

    Acting in relation to a series of unregulated investments

    Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world

    United Kingdom

    Acting in relation to civil and regulatory exposures

    Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions

    United Kingdom

    Acting on a series of frauds committed

    Acting for a well known national IFA network in relation to a series of frauds committed by an adviser

    United Kingdom

    Defending claims in respect of mortgage products

    Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes

    United Kingdom

    Negligent advice in relation to high risk investments

    Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds

    United Kingdom

    Tax and M&A advice when acquiring a British publishing business

    Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.

    United Kingdom

Our Financial Services team

James Cooper
James Cooper

Partner

Laura Cooke
Laura Cooke

Partner

James Preece
James Preece

Partner

David Méheut
David Méheut

Partner

Dr. Henning Schaloske
Dr. Henning Schaloske

Partner

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