Andrew Jeffery v The Financial Conduct Authority: FS/2010/0039
Upper Tribunal Tax and Chancery decision of Judge Berner, Member O'Neill and Member Abrams on 7 February 2013.
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FINANCIAL SERVICES – general insurance broker - whether Applicant in breach of Statements of Principle 1 and 4 – standard of proof - forged documentation – failure to effect insurance – failure to keep clients informed of identity of insurer – failure to deal with the Authority in an appropriate, open and cooperative way – action under s 66 FSMA – whether prevented by limitation – construction of s 66(4), (5) – penalty – s 66(3) - prohibition order – s 56 FSMA.
Published 1 December 2016