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Senior Managers & Certification Regime (SM&CR)

Are you ready for 9 December 2019?

Firms will need to identify which SMF's apply to their individuals, assign Prescribed Responsibilities, prepare Statements of Responsibilities, implement the Certification regime, give training in the Conduct Rules and update their reference procedures. 

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Liability for SIPP investments - Adams v Carey Pensions UK LLP

SIPP administrator defends breach of statutory duty claim for storepod investment arising from activities of an unregulated introducer. FCA intervenes in determination of scope of arranging investments and COBS cusotmer best interests duties. Long awaited judgment expected by mid-November 2018.

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In specie contributions - Sippchoice v HMRC. Hearing February 2020

Back to the drawing board for HMRC following its loss in a Tribunal case involving in specie contribution of assets?

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Harcus Sinclair LLP v Your Lawyers Limited [2019] EWCA Civ 335

Court of Appeal allows an appeal challenging the enforceability of a non-disclosure agreement. The court says the agreement is unenforceable as being unreasonable in its restraint of trade, and discharges an injunction granted by the High Court.

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Radia v Jefferies

Claimant succeeds in part of his appeal - the Employment Appeal Tribunal holds that it was wrong to conclude that the failure by the Respondent company to hold an internal appeal did not make the dismissal unfair.

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