United Kingdom Upper Tribunal (Tax and Chancery Chamber)

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You are here: BAILII >> Databases >> United Kingdom Upper Tribunal (Tax and Chancery Chamber) >> Westwood Independent Financial Planners v FCA [2013] UKUT B9 (TCC) (22 November 2013)
URL: http://www.bailii.org/uk/cases/UKUT/TCC/2013/B9.html
Cite as: [2013] UKUT B9 (TCC)

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Westwood Independent Financial Planners v FCA [2013] UKUT B9 (TCC) (22 November 2013)

"FINANCIAL SERVICES – alleged breaches of Principle 7 (communication of information) and Principle 9 (suitability of advice) of Principles for Businesses and related Conduct of Business Rules in relation to Geared Traded Endowment Policies - whether Authority and Tribunal have jurisdiction - yes - whether Applicant breached Principles and COB Rules – yes - whether financial penalty appropriate - yes - amount of penalty confirmed - reference dismissed "

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