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) >> Carrimjee v Financial Conduct Authority [2015] UKUT 79 (TCC) (04 March 2015)
URL: http://www.bailii.org/uk/cases/UKUT/TCC/2015/79.html
Cite as: [2015] UKUT 79 (TCC)

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Carrimjee v Financial Conduct Authority [2015] UKUT 79 (TCC) (04 March 2015)

MARKET ABUSE–Whether applicant knew or suspected that there was a risk his customer intended to engage in market abuse through share price manipulation in breach of Statement of Principle 1-no-whether applicant failed to exercise due skill care and diligence in relation to the issue in breach of Statement of Principle 2-yes Financial Penalty-s66 (3) FSMA-withdrawal of approval-s63 FSMAProhibition Order-s56 FSMA

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