Advice at Questionnaire Stage – Financial Advisor released

Advice at Questionnaire Stage – Financial Advisor released

Our client was a financial adviser whose previous company had unfortunately become insolvent.  The client was accordingly subjected to an investigation by the Insolvency Service as to whether or not the client had done enough to discharge his Directorial obligations in respect of his previous company.

As an independent financial adviser with a promising new business, our client would have been prohibited from trading in the event that Director Disqualification Proceedings were to be issued and a Disqualification Order made against him.  It was therefore extremely important to our client to dispose of the allegations robustly and as soon as possible.

We were instructed to advise the client and assist with his response to the very detailed questions being asked of him by the Insolvency Service.  This assistance resulted in the investigation being dropped and no further being taken against the client.

If you find yourself in a similar situation to the above, please contact Matthew Howat, head of our Director Disqualification team, on 020 7884 9700 or by email on to arrange a free consultation.

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