| 1 | Challenging the Pensions Regulator: Tribunal procedure This note covers at the practice and procedure of the Upper Tribunal (Tax and Chancery chamber) when dealing with appeals against Pensions Regulator determinations. It considers who can make a reference to the Tribunal, the various stages of the appeal, and the Tribunal's jurisdiction and case management powers. | Practice note: overview | Maintained |
| 2 | EAT practice and procedure: overview This note provides a guide to proceedings before the EAT. It considers: The grounds on which an appeal can be brought and a Notice of Appeal issued by an appellant. How a respondent should lodge an Answer and any cross-appeal. The sift of appeals by the EAT and allocation of appeals to hearing tracks. Preparing an appeal for a full hearing, the conduct of a full hearing and the disposal of appeals. Review and appeal of EAT decisions. When costs may be awarded in EAT proceedings. For guidance on procedure before the employment tribunal, see Practice note, Employment tribunal practice and procedure: overview. NOTE: CHANGES DUE IN SUMMER 2013: Section 12 of the Enterprise and Regulatory Reform Act 2013 is due to come into force on 25 June 2013. As a result, EAT judges will hear cases sitting alone, unless they direct otherwise. It is anticipated that the new fees regime will be introduced in July 2013 (see Legal update, Employment tribunal fees: draft order laid before Parliament). For further information, see Practice note, What to expect in employment law. | Practice note: overview | Maintained |
| 3 | Employment tribunal practice and procedure: overview This practice note provides a guide to the conduct of proceedings before the employment tribunal, as well as links to more detailed notes on each stage of those proceedings. It considers bringing and defending claims, the tribunal's breach of contract jurisdiction, the conciliation of claims as well as preparation for and attendance at hearings. It also considers the review and appeal of tribunal decisions, the enforcement of awards and the costs regime in the employment tribunal. For guidance on procedure before the EAT, see Practice note, EAT practice and procedure: overview. | Practice note: overview | Maintained |
| 4 | Pensions Ombudsman: overview This practice note gives an overview of the Pensions Ombudsman considering: his jurisdiction and powers, limitation periods for complaints, and the key procedures involved in making a complaint. | Practice note: overview | Maintained |
| 5 | Pensions Regulator: Determinations Panel procedure This note covers the key points you need to consider if you are dealing with determinations made on behalf of the Pensions Regulator, including the procedures for making representations to the Determinations Panel and practical points about the role of the Regulator's case teams and dealing with evidence and timing (taking account of the new procedures published in January 2013). | Practice note: overview | Maintained |
| 6 | Tax appeals: overview of tribunal system This note is an overview of the new tax tribunal system which came into effect on 1 April 2009, replacing the VAT and Duties Tribunal, the Special Commissioners and the General Commissioners. | Practice note: overview | Maintained |
| 7 | Expert determination A note on the types of disputes or issues to which expert determination is most applicable, how to draft an effective expert determination clause, what to look out for in an expert's terms of reference and on what terms to appoint an expert. | Practice notes | Maintained |
| 8 | Financial Ombudsman Service: complaint handling ... In this practice note Jane Tuckley, a partner in Travers Smith LLP's Financial Services and Markets department, and Nigel Barratt, Director of Research in the same department, outline the complaints handling procedures of the Financial Ombudsman Service (FOS). For an overview of the FOS' statutory framework, constitutional issues and funding, see Practice note, Financial Ombudsman Service: statutory framework, constitution and funding. For a description of the three jurisdictions comprising the FOS scheme, see Practice note, Financial Ombudsman Service: jurisdiction. This practice note is part of a series of practice notes written by Travers Smith LLP outlining the FSA's disciplinary and enforcement powers. For more information, see Practice note, FSA enforcement regime: overview. This practice note, and the other FOS practice notes referred to above, are in the process of being updated by the authors to reflect the new UK regulatory structure that came into effect on 1 April 2013. | Practice notes | Maintained |
| 9 | Financial Ombudsman Service: jurisdiction In this practice note Jane Tuckley, a partner in Travers Smith LLP's Financial Services and Markets department, and Nigel Barratt, Director of Research in the same department, outline the jurisdiction of the Financial Ombudsman Service (FOS). For information on the FOS' statutory framework, constitutional issues and funding, see Practice note, Financial Ombudsman Service: statutory framework, constitution and funding. For an overview of the FOS' complaint handling procedures, see Practice note, Financial Ombudsman Service: complaint handling procedures. This practice note is part of a series of practice notes written by Travers Smith LLP outlining the FCA's disciplinary and enforcement powers. For more information, see Practice note, FCA enforcement regime: overview. This practice note, and the other FOS practice notes referred to above, are in the process of being updated by the authors to reflect the new UK regulatory structure that came into effect on 1 April 2013. | Practice notes | Maintained |
| 10 | Financial Ombudsman Service: statutory framework ... In this practice note Jane Tuckley, a partner in Travers Smith LLP's Financial Services and Markets department, and Nigel Barratt, Director of Research in the same department, outline the statutory framework under which the Financial Ombudsman Service (FOS) is established and operates. They also consider constitutional matters for the FOS, and the funding of the FOS. For a description of the three jurisdictions comprising the FOS scheme, see Practice note, Financial Ombudsman Service: jurisdiction. For an overview of the FOS' complaint handling procedures, see Practice note, Financial Ombudsman Service: complaint handling procedures. This note is part of a series of practice notes written by Travers Smith LLP outlining the FSA's disciplinary and enforcement powers. For more information, see Practice note, FSA enforcement regime: overview. | Practice notes | Maintained |
| 11 | Key topics citator A "reverse" citator setting out the main legislative provisions, regulatory materials, leading cases and determinations of the Pensions Ombudsman for some key topics in occupational pensions. Links are also included to the main PLC Pensions materials available for each topic. | Practice notes | Maintained |
| 12 | Pensions Ombudsman: procedure for complaint, response ... This practice note covers the practice and procedure for those wishing to bring a complaint, or refer a dispute, to the Pensions Ombudsman. It also covers how to respond, disclosing documents and the procedure up to a determination (including hearings). | Practice notes | Maintained |
| 13 | Pensions Ombudsman: remedies This practice note considers the remedies that the Pensions Ombudsman can order. The note looks at whether the Ombudsman is restricted to making the same orders that the court would be able to make, as well as commenting on his powers to award damages for distress and inconvenience, and reimbursement of a complainant's legal costs. | Practice notes | Maintained |