FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime

Joanna Gray

Journal of Financial Regulation and Compliance, 2009, vol. 17, issue 3, 349-356

Abstract: Purpose - The purpose of this paper is to look at a recent Financial Services Authority (FSA) challenge in the Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime (FSAv.Fox Hayes: Court of Appeal(civil division): Lord Justice Longmore, Lord Justice Wilson, Lord Justice Lawrence Collins). Design/methodology/approach - Examines the FSA's various grounds for appeal and what was an appropriate level of penalty. Findings - Provides the court of appeal's decisions on point of law in relation to three issues. Originality/value - This paper will be of interest to regulated firms who fear the consequences of regulatory liability for breaches of FSA rules.

Keywords: United Kingdom; Legislation; Financial services; Regulation; Solicitors (search for similar items in EconPapers)
Date: 2009
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Persistent link: https://EconPapers.repec.org/RePEc:eme:jfrcpp:v:17:y:2009:i:3:p:349-356

DOI: 10.1108/13581980910972278

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