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Financial Services Disputes & Regulation

Author: Herbert Smith Freehills

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In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Harriet Tolkien.   You can find links to our blog posts on the cases covered in this podcast below:High Court considers First Tower judgment in the context of no-advice clauses and confirms UCTA does not applyHigh Court confirms current scope of Quincecare duty is limited to protecting corporate customers and does not extend to individualsHigh Court provides further insights on the risks of Quincecare claims against banksSupreme Court judgment in the KBR v SFO appeal – limits to extraterritorial impact of the SFO’s document compulsion powersCourt of Appeal clarifies that cross-undertakings should rarely be required as a condition of security for costsWitness evidence reforms: final versions now published and will apply from 6 AprilBrexit: key practical implications for disputes and dispute resolution clauses Don't forget to subscribe to the banking litigation blog. 
In the CHRISTMAS SPECIAL edition of our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions, combined with some festive cheer and a few surprises. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan, Mark Tanner and some very special guests.  You can find links to our blog posts on the cases covered in this podcast below:High Court tests newly narrowed scope of the “reflective loss” rule in first decision since the Supreme Court’s judgment in MarexCommercial Court considers impact of force majeure clause on repayment obligation in sale of goods contractHigh Court finds no breach of duty by bank in exercise of enforcement rights under finance agreementsHigh Court strikes out group claims in light of parallel claims overseas: good news for parent company liability claims?Class action reform in France: Necessary, but debatableCapital Raisings and Opportunistic M&A in a Covid-19 Environment—Lessons Learned from the Global Financial CrisisBeyond Brexit: Countdown to 1 January 2021 – new video briefings and podcasts available, including on jurisdiction and enforcement of judgmentsHow far can UK courts depart from EU case law? Don't forget to subscribe to the banking litigation blog.Speakers: John Corrie (Partner), Ceri Morgan (Professional Support Consultant), Mark Tanner (Senior Associate)
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Georgia Nickson.  You can find links to our blog posts on the cases covered in this podcast below:Court of Appeal upholds High Court’s decision on the preferred contractual construction of a term in an exclusion clauseCommercial Court grants declaratory relief to bank relating to its rights under the 1992 ISDA Master AgreementHigh Court strikes out two IRHP mis-selling claims on the grounds of abuse of process, limitation and underdeveloped allegations of fraudHigh Court refuses to strike out Quincecare duty claim against a PSP where its customer was hijacked by fraudstersBanking Litigation Podcast Episode 13: Monthly Update - November 2019 (in which we covered Singularis Holdings Ltd v Daiwa Capital Markets [2019] UKSC 50)High Court considers Quincecare and dishonest assistance claims against bank in context of Ponzi schemeHigh Court finds no need to enquire into qualifications of foreign lawyer in applying English law privilegeDon't forget to subscribe to the banking litigation blogSpeakers: John Corrie (Partner), Ceri Morgan (Professional Support Consultant), Georgia Nickson (Associate)
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Scott Warin.  You can find links to our blog posts on the cases covered in this podcast below:Court of Appeal upholds High Court decision to grant summary judgment in FX de-pegging caseHigh Court says bank need not comply with numerous and repetitive DSARs which were being used for a collateral purposeThe Tesco Litigation: lessons learned from split trial orders in the context of securities class actionsHigh Court strikes out claimants’ representative action due to failure to meet “same interest” requirement under CPR 19.6Judgment handed down in FCA’s COVID-19 business interruption insurance test caseSingapore Convention on Mediated Settlement Agreements comes into force tomorrow, 12 September 2020Webinar Available: Dispute Resolution Choices for Banks and Financial Institutions – Maximising the Chances of Successful Enforcement Don't forget to subscribe to the banking litigation blog.Speakers: John Corrie (Partner), Ceri Morgan (Professional Support Consultant), Scott Warin (Associate)
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Ajay Malhotra.You can find links to our blog posts on the cases covered in this podcast below:Untangling, but not killing off, the Japanese knotweed: Supreme Court confirms existence and scope of “reflective loss” ruleHigh Court requires claimant investors to disclose their investment history to show their level of sophistication and appetite for riskHigh Court finds no duty of care owed for late execution of orders due to unforeseen market turbulenceDefault judgment set aside where claim served at closed offices during COVID-19 lockdownPart 36 offer to accept 0.3% less than total amount claimed constituted genuine offer to settle Don't forget to subscribe to the banking litigation blogSpeakers: John Corrie (Partner), Ceri Morgan (Professional Support Consultant), Ajay Malhotra (Senior Associate)
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Catherine Bagge.You can find links to our blog posts on the cases covered in this podcast below:High Court takes robust approach to personal guarantees: potential impact for accredited lenders under the Coronavirus Business Interruption Loan SchemesCourt of Appeal confirms borrower’s right to withhold payment under English law Tier 2 Capital facility agreement where risk of US secondary sanctionsPrivilege in the context of regulatory investigations: latest guidance from the High CourtHigh Court takes expansive view of when reference to legal advice may result in broader waiverUntangling, but not killing off, the Japanese knotweed: Supreme Court confirms existence and scope of “reflective loss” ruleUK Government announces LIBOR legislative fix: summary of proposals and our initial observationsDon't forget to subscribe to the banking litigation blog
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Alice Whyte.You can find links to our blog posts on the cases covered in this podcast below:High Court rejects indemnity claim under SPA due to a failure to notify the claim “as soon as possible”High Court finds claim for lost profits arising from damage caused by London riots not prevented by force majeure or exclusion for indirect or consequential lossLitigation funder fails in attempt to obtain trading data from the London Stock ExchangeProposed insolvency reforms: impact on secured and unsecured bank debtDon't forget to subscribe to the banking litigation blog
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Nic Patmore.You can find links to our blog posts on the cases covered in this podcast below:Court of Appeal upholds High Court contractual construction of CLO transactionHigh Court finds in favour of novel duty of care on employers (or quasi-employers) to protect against economic loss by providing an "ethically safe" work environmentHigh Court declines to adjourn five-week trial due to COVID-19 pressuresHigh Court refuses to set aside or vary disclosure order despite risk of foreign criminal or regulatory sanctionsCompeting class actions in the Competition Appeal Tribunal: no preliminary ruling on carriage issueDon't forget to subscribe to the banking litigation blog
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Mannat Sabhikhi.You can find links to our blog posts on the cases covered in this podcast below: High Court finds no implied contractual duties in connection with past business reviewMorrisons wins Supreme Court appeal against finding of vicarious liability in data breach class actionCourt of Appeal confirms funders’ adverse costs liability not limited to amount of funding provided: Arkin “cap” not a binding rule Class actions against financial institutions: impact of High Court decision to order security for costs against a litigation funderImpact of Court of Appeal’s privilege decision in Sports Direct v FRC for the financial services sectorCOVID-19 Hub
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Daniel May.You can find links to our blog posts on the cases covered in this podcast below:High Court grants proprietary injunction against Bitcoin exchange holding proceeds of ransomware attackHigh Court upholds financial institution restructuring unit’s exercise of its powers under facility agreement following borrower default, finding there was no “relational contract” and rejecting claims for intimidation and economic duressHigh Court strikes out claim against banks in their capacity as lenders to investors of a tax deferral schemeJoint Operating agreement arguably a "relational contract" but Commercial Court declines to imply duty of good faith or Braganza dutyCourt of Appeal finds legal advice privilege is subject to a “dominant purpose” testDon't forget to subscribe to the banking litigation blog
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Harriet Tolkien.You can find links to our blog posts on the cases covered in this podcast below:High Court upholds strike out of claim based on allegation a financial institution breached fiduciary duties as a shadow director of its customerHigh Court finds privilege not lost despite document being referred to in open courtHigh Court orders claimants to provide disclosure to prove investment decisions were made in reliance on defective publications in the Tesco section 90A FSMA group litigationCourt of Appeal confirms Part 36 offer cannot be made exclusive of interestDon't forget to subscribe to the banking litigation blog.
The third episode of Regulation in Focus, our podcast series of short, sharp insights into regulatory issues that matter to you, features Katherine Dillon and Emma Reid from our non-contentious financial services regulatory practice in London, discussing the role that equivalence might play in accessing EU markets post-Brexit.Katherine and Emma are experts in regulatory matters across a wide range of sectors, and have regularly been advising on Brexit-related implications for financial services firms.
The second episode of Regulation in Focus, our podcast series of short, sharp insights into regulatory issues that matter to you, features London partners Hywel Jenkins and Christine Young discussing our top 5 tips for dealing with employee misconduct investigations in a regulated context. 
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Emma Deas.You can find links to our blog posts on the cases covered in this podcast below:The Lloyds/HBOS litigation: The first shareholder class action judgment in England & WalesFirst securities class action judgment in AustraliaHigh Court refuses Tesco’s strike out application in s.90A FSMA group shareholder actionSupreme Court upholds first successful claim for breach of the so-called “Quincecare” duty of careThe Financial Services Duty of Care BillDon't forget to subscribe to the banking litigation blog.
In this special edition of our banking litigation podcast, we consider the first judgment in a shareholder class action in England & Wales in Sharp v Blank [2019] EWHC 3078 (Ch) (also known as The Lloyds/HBOS Litigation).In rejecting the claim brought by a group of shareholders against Lloyds relating to its acquisition of HBOS in 2008, the decision of the High Court provides clarity on some of the most important battlegrounds which arise in shareholder class actions as well as guidance for listed companies and their directors on various key aspects of capital markets and M&A transactions.This significant decision will have ramifications for listed companies, and their advisers, in the UK. A briefing paper setting out our observations and insights is available here.Herbert Smith Freehills acted for Lloyds in the litigation, and in this podcast we summarise the outcome, implications for banks (as both issuers and as advisers in an investment banking capacity) and share our litigation top tips.  
We are pleased to announce the release of the first episode of Regulation in Focus, our podcast series of short, sharp insights into regulatory issues that matter to you.  Our first episode, a bumper cross-border edition featuring partners Hannah Cassidy (Hong Kong), Natalie Curtis (Singapore) and Chris Ninan (London), focuses on information flows in cross-border regulatory investigations. We've recently published the fourth edition of The Long Arm of Regulation: Responding to Cross-Border Financial Services Investigations, which gives an overview of how to approach multiple proceedings in different jurisdictions, and aims to assist firms in navigating the differing regimes across 15 key jurisdictions. Our guide covers a range of important topics, including the regulators' breadth of powers, mechanisms for obtaining – and withholding – information, consequences for failing to comply, and the management of competing confidentiality and reporting obligations. You can download a preview of our guide on our website https://www.herbertsmithfreehills.com/latest-thinking/the-long-arm-of-regulation-responding-to-cross-border-financial-services
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions.You can find links to our blog posts on some of the cases covered in this podcast below:Court of Appeal confirms "once privileged, always privileged" unless privilege is waived – even if there is no longer anyone who can assert the privilegeCourt of Appeal finds claim for damages for loss of control of data can proceed as representative action under CPR 19.6High Court finds terms of English law Facility Agreement allowed borrower to withhold interest payments given risk of US “secondary” sanctionsCourt of Appeal judgment on scope and exclusion of "Quincecare" duty of careDamages-based agreements (DBAs): promising proposals for reformDon't forget to subscribe to the banking litigation blog.
In this episode we take a look at the Law Commission's recent report on the Suspicious Activity Reporting (SAR) regime under the Proceeds of Crime Act 2002 (POCA).Read our FSR and CC&I blog here:https://hsfnotes.com/fsrandcorpcrime/Consultation Paper on the SARs Regime:https://s3-eu-west-2.amazonaws.com/lawcom-prod-storage-11jsxou24uy7q/uploads/2018/07/Anti-Money-Laundering-the-SARs-Regime-Consultation-paper.pdfLaw Commission's Report on the SARs Regime:https://s3-eu-west-2.amazonaws.com/lawcom-prod-storage-11jsxou24uy7q/uploads/2019/06/6.5569_LC_Anti-Money-Laundering_Report_FINAL_WEB_120619.pdfEconomic Crime Plan 2019-22: https://s3-eu-west-2.amazonaws.com/lawcom-prod-storage-11jsxou24uy7q/uploads/2019/06/6.5569_LC_Anti-Money-Laundering_Report_FINAL_WEB_120619.pdf
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by John Corrie, a partner in our banking litigation team, who is joined by Ceri Morgan and special guest Sousan Gorji.You can find links to our blog posts on some of the cases covered in this podcast below:High Court finds in favour of Lehman administrator in respect of US $7 million trade error and implies term into otherwise “unworkable” debt security trade agreementHigh Court endorses use of CPR Part 86 interpleader application by financial services firm seeking court guidancePrivilege: A reminder of the dangers of cherry picking46 countries sign the new Singapore Convention on mediated settlementsDon't forget to subscribe to the banking litigation blog.
In our monthly update podcast, we look at key recent judgments likely to be of interest to financial institutions. This episode is hosted by David Barr, who is joined by Ceri Morgan and special guest Dan Eziefula.You can find links to our blog posts on some of the cases covered in this podcast below:Court of Appeal clarifies test for rectifying terms of written contract for common mistakeCommercial Court considers contractual discretion of bank to close customer account without notice where there is suspicion of money launderingSupreme Court clarifies broad scope of court’s discretion to grant non-party access to court documentsHigh Court finds there is no power to stay English proceedings to give effect to exclusive jurisdiction clause in favour of non-EU court unless proceedings were commenced first in the foreign courtWhat securities litigators need to know about the new Prospectus RegulationDon't forget to subscribe to the banking litigation blog.
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