United Kingdom Upper Tribunal (Tax and Chancery Chamber)

---

You are here: BAILII >> Databases >> United Kingdom Upper Tribunal (Tax and Chancery Chamber) >> Stuart Malcolm Forsyth v (1) The Financial Conduct Authority and (2) The Prudential Regulation Authority [2021] UKUT 162 (TCC) (6 July 2021)
URL: http://www.bailii.org/uk/cases/UKUT/TCC/2021/162.html
Cite as: [2021] UKUT 162 (TCC)

---

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

---

Stuart Malcolm Forsyth v (1) The Financial Conduct Authority and (2) The Prudential Regulation Authority [2021] UKUT 162 (TCC) (6 July 2021)

FINANCIAL SERVICES- whether Chief Executive of small insurer demonstrated a lack of integrity in relation to issues arising out of his wife's employment by the insurer - Statement of Principle 1 of the FCA's and PRA's Statements are of Principle for Approved Persons , Rule 1 FCA's Individual Conduct Rules and Individual Conduct Standard 1 PRA's Insurance Conduct Standards

Financial penalty - whether action to impose financial penalty partially time-barred- whether financial penalty appropriate and if so appropriate level of penalty - s 66 FSMA

Fitness and properness of director as approved person - prohibition order in relation to all functions in relation to regulated activities - s 56 FSMA

A HTML version of this file is not available click here or view below the pdf version : [2021] UKUT 162 (TCC)