PFS Workshop: Legal Update - negligence and complaints

Peterborough United Football Club
Tuesday, 17 April 2018
9:00 am – 1:00 pm
    • Philippa Hann Dip PFS, Partner, Financial Services Litigation Team, Clarke Willmott LLP

This workshop will cover 2 key themes:


Overview: Complaints happen, they can be justified or not but once received they must be properly dealt with. Alternatively, you might have taken on a new client who has previously been given questionable advice. We all want to do the right thing by our clients and help them where we can. But what steps can you take, when should you take them and how far should you go? At the end of this event, the delegate will be able to identify:

  • The time scales for making a complaint to the Financial Ombudsman Service, The Pensions Ombudsman and Court.
  • How the complaint process works for each available avenue of complaint.
  • How compensation is calculated.
  • The top reasons financial advisers receive complaints (and so top tips to avoid them).


Overview: Negligence is a word bandied about but what does it actually mean? What cases have been through the courts recently where a financial adviser’s advice has been called into question and what can we learn from them? What can you do to protect yourself against spurious claims for negligence? At the end of this event, the delegate will be able to identify:

  • What the definition of negligence is?
  • What recent cases have been decided in court?
  • What steps can be taken to avoid claims for negligence?

Please note that this event will be held in the Noel Cantwell Suite which is located in the Abax Stadium's South Stand. Due to limited parking near the South Stand entrance, we recommend that you park near the Main Reception and walk around the stadium to access the venue.

(£10 charge for non-attendance; unless 48 hours’ notice given). Refreshments and buffet lunch included.

  • Peterborough United Football Club, ABAX Stadium
  • London Road
  • Peterborough
  • PE2 8AL
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CII Accredited

This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.

3 hours' CPD can be claimed for this event if relevant to your learning and development needs.

It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at