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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) >> 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) |
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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)
