David Thomas v The Financial Services Authority: FIN/2004/0006
Upper Tribunal Tax and Chancery decision of Judge Brice, Judge Bishopp and Member Parsloe on 22 September 2004.
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PERFORMANCE OF REGULATED ACTIVITIES 鈥� Respondent鈥檚 refusal to approve performance by Applicant of controlled functions 鈥� three preliminary issues 鈥� whether Respondent in breach of time limit in section 61(3) 鈥� yes 鈥� whether that made the warning notice and the decision notice void 鈥� no - whether the fact that the Respondent has appointed investigators in respect of the Applicant are grounds sufficient in themselves for a conclusion that the Applicant is not a fit and proper person 鈥� no 鈥� reference not yet determined - Financial Services and Markets Act 2000 ss 61, 133 and 168.
Updates to this page
Published 1 December 2016