Claimant v Life's Great Group Limited
Outcome
Facts
The claimant was Managing Director and designated compliance officer (SMF16) for the respondent. In September 2020, potential FCA compliance breaches came to light concerning protection insurance sales. The claimant's responsibilities were restricted on 4 September 2020. On 14 September 2020, the respondent's CEO (Mr Hayes) met with the claimant and discussed two options: suspension/disciplinary action or taking annual leave and resigning as a 'good leaver'. The claimant took two weeks' annual leave. On 23 September 2020, without prejudice negotiations occurred. The claimant raised a grievance on 9 October 2020.
Decision
This was a preliminary hearing solely to determine whether the meeting of 14 September 2020 was protected by without prejudice privilege. The tribunal found that a clear dispute existed before the meeting, that Mr Hayes represented the respondent in exploring settlement parameters, and that the discussion did not amount to unambiguous impropriety. The meeting and its contents were therefore excluded as evidence by reason of privilege.
Practical note
Without prejudice privilege will protect preliminary settlement discussions exploring the outline of a potential deal, even where the representative needs board approval, provided there is an existing dispute and the discussions do not reach the high threshold of unambiguous impropriety.
Legal authorities cited
Statutes
Case details
- Case number
- 2402605/2021
- Decision date
- 30 October 2024
- Hearing type
- preliminary
- Hearing days
- 1
- Classification
- procedural
Respondent
- Sector
- financial services
- Represented
- Yes
- Rep type
- barrister
Employment details
- Role
- Managing Director
Claimant representation
- Represented
- Yes
- Rep type
- barrister