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Tribunal upholds FCA ban for PI broker

The Upper Tribunal has upheld a decision by the FCA to ban a former professional indemnity insurance broker. Stephen Allen was issued with a decision notice by the FSA in July 2012, which intended to ban him because he was not a fit and proper person. The regulator said Allen had secretly added a fee […]

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The dos and don’ts on client ownership and contract law

Directors and partners of advice firms are faced with making decisions that affect both the financial and regulatory well-being of their businesses on a regular basis. Yet many of these decisions, even major ones, are made without external reference or support. Why is this? Is it because of the cost, because it is thought unnecessary, […]

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