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United Kingdom Upper Tribunal (Tax and Chancery Chamber)
You are here: BAILII >> Databases >> United Kingdom Upper Tribunal (Tax and Chancery Chamber) >> Joint v The Financial Conduct Authority (FINANCIAL SERVICES) [2015] UKUT 636 (TCC) (26 November 2015)
URL: http://www.bailii.org/uk/cases/UKUT/TCC/2015/636.html
Cite as: [2015] UKUT 636 (TCC)
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Terence Andrew Joint v The Financial Conduct Authority (FINANCIAL SERVICES) [2015] UKUT 636 (TCC) (26 November 2015)
FINANCIAL SERVICES–general insurance broker -whether director failed to exercise due skill care and diligence in managing the business-whether he took reasonable steps to ensure compliance with relevant standards regarding the operation of client money accounts-Statements of Principle 6 and 7 Fitness and properness of approved person-prohibition order in relation to significant influence functions-s 56 FSMA Financial penalty-appropriate level of penalty-s 66(3)FSMA.
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