Stewart Owen Ford and Mark John Owen v The Financial Conduct Authority: [2018] UKUT 0358 (TCC)
Upper Tribunal Tax and Chancery decision of Judge Berner and Member Dale and Member Freeman on 6 November 2018.
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FINANCIAL SERVICES 鈥� distribution by Keydata Investment Services Limited of bonds issued by SLS Capital S.A. and Lifemark S.A. backed by US life settlements 鈥� conduct of Mr Ford and Mr Owen 鈥� whether breach of Statement of Principle 1 (integrity) and Statement of Principle 4 (relations with regulators) 鈥� whether 鈥渇it and proper鈥� 鈥� prohibition orders 鈥� FSMA, s 56 鈥� financial penalties 鈥� FSMA, s 66 鈥� disgorgement.
Updates to this page
Published 6 November 2018