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Published 3 August 2016
DAC Beachcroft's Banking & Finance Disputes Update focuses on events occurring within the banking, financial, city business and general regulatory sectors that give rise to or concern contentious matters, civil or regulatory.
On 15 July 2016, the FCA imposed a fine of £59,557.00 on Gavin Breeze ("Mr Breeze"), a Jersey resident, in respect of shares which he sold in September 2014 in MoPowered Group plc ("MoPowered"), an AIM listed company which designs mobile payment software applications.
In a recent decision of the Upper Tribunal, a preliminary issue has been decided against the FCA in an ancillary claim arising out of mis-trading perpetrated by JP Morgan Chase Bank in 2012.
The claimant, AS Latvijas Krajbanki, a Latvian bank, was given judgment at a previous hearing.
On 21 July 2016, the FCA published a report on its thematic review of the UK equity marketplace, focusing on dark pools and broker crossing networks ("BCNs").
Towergate Underwriting Group Limited ("Towergate") is an insurance intermediary which holds both client and insurer money. This month the FCA fined Towergate £2,632,000 for failings in relation to its protection of client and insurer money.
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