Andrew Jeffery v The Financial Conduct Authority: FS/2010/0039
Upper Tribunal Tax and Chancery decision of Judge Berner, Member O'Neill and Member Abrams on 7 February 2013.
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FINANCIAL SERVICES 鈥� general insurance broker - whether Applicant in breach of Statements of Principle 1 and 4 鈥� standard of proof - forged documentation 鈥� failure to effect insurance 鈥� failure to keep clients informed of identity of insurer 鈥� failure to deal with the Authority in an appropriate, open and cooperative way 鈥� action under s 66 FSMA 鈥� whether prevented by limitation 鈥� construction of s 66(4), (5) 鈥� penalty 鈥� s 66(3) - prohibition order 鈥� s 56 FSMA.
Updates to this page
Published 1 December 2016