United Kingdom Upper Tribunal (Tax and Chancery Chamber)

---

You are here: BAILII >> Databases >> United Kingdom Upper Tribunal (Tax and Chancery Chamber) >> Bayliss & Co (Financial Services) Ltd v The Financial Conduct Authority [2015] UKUT 265 (TCC) (21 May 2015)
URL: http://www.bailii.org/uk/cases/UKUT/TCC/2015/265.html
Cite as: [2015] UKUT 265 (TCC)

---

[New search] [Printable PDF version] [Help]

---

Bayliss & Co (Financial Services) Ltd v The Financial Conduct Authority [2015] UKUT 265 (TCC) (21 May 2015)

FINANCIAL SERVICES – independent financial adviser-whether approved person able to demonstrate that he provided suitable advice-whether he took reasonable steps to ensure compliance with regulatory standards-Statements of Principle 2 and 7 Financial Penalty-whether action precluded by limitation-s66(4), (5) FSMAappropriate level of penalty-s66(3) FSMA Fitness and properness of approved person-withdrawal of approvals and prohibition order in relation to significant influence functions-s56 and 63 FSMA Cancellation of firm’s permission-s55J FSMA

A HTML version of this file is not available click here or view below the pdf version : 265.pdf