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Purpose – The purpose of this paper is to look at a recent Financial Services Authority (FSA) challenge in the Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime ( FSA v. Fox Hayes: Court of Appeal (civil division): Lord Justice Longmore, Lord Justice Wilson, Lord Justice Lawrence Collins). Design/methodology/approach – Examines the FSA's various grounds for appeal and what was an appropriate level of penalty. Findings – Provides the court of appeal's decisions on point of law in relation to three issues. Originality/value – This paper will be of interest to regulated firms who fear the consequences of regulatory liability for breaches of FSA rules.
Journal of Financial Regulation and Compliance – Emerald Publishing
Published: Jul 24, 2009
Keywords: United Kingdom; Legislation; Financial services; Regulation; Solicitors
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