Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse

Joanna Gray

Journal of Financial Regulation and Compliance, 2006, vol. 14, issue 4, 418-423

Abstract: Purpose - The purpose of this paper is to describe how the Financial Services and Markets Tribunal turned down a costs application from a broker it had earlier found not to have engaged in market abuse. Design/methodology/approach - The paper outlines the facts surrounding the decision. Findings - The case drives home the importance of insurance against the costs of Tribunal representation for key employees in the financial services industry at risk of FSA enforcement proceedings. Originality/value - The paper highlights the Financial Services and Markets Tribunal decision to awarding costs.

Keywords: Legal decisions; Tribunals (search for similar items in EconPapers)
Date: 2006
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Persistent link: https://EconPapers.repec.org/RePEc:eme:jfrcpp:13581980610711199

DOI: 10.1108/13581980610711199

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