Tariq Carrimjee v The Financial Conduct Authority: [2015] UKUT 0079 (TCC)
Upper Tribunal Tax and Chancery decision of Judge Herrington and Member Bottriell and Member Chapman on 4 March 2015.
Read the full decision in .
MARKET ABUSE–Whether applicant knew or suspected that there was a risk his customer intended to engage in market abuse through share price manipulation in breach of Statement of Principle 1-no-whether applicant failed to exercise due skill care and diligence in relation to the issue in breach of Statement of Principle 2-yes Financial Penalty-s66 (3) FSMA-withdrawal of approval-s63 FSMAProhibition Order-s56 FSMA.
Published 1 December 2016