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FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime

FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on... 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. http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png Journal of Financial Regulation and Compliance Emerald Publishing

FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime

Journal of Financial Regulation and Compliance , Volume 17 (3): 8 – Jul 24, 2009

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Publisher
Emerald Publishing
Copyright
Copyright © 2009 Emerald Group Publishing Limited. All rights reserved.
ISSN
1358-1988
DOI
10.1108/13581980910972278
Publisher site
See Article on Publisher Site

Abstract

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

Journal of Financial Regulation and ComplianceEmerald Publishing

Published: Jul 24, 2009

Keywords: United Kingdom; Legislation; Financial services; Regulation; Solicitors

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