Terence Andrew Joint v The Financial Conduct Authority: [2015 UKUT 0636 (TCC)

Upper Tribunal Tax and Chancery decision of Judge Herrington, and Member Abrams and Member Fraenkel on 26 November 2015.

Read the full decision in Terence Andrew Joint v The Financial Conduct Authority: [2015 UKUT 0636 (TCC).

FINANCIAL SERVICES–general insurance broker -whether director failed to exercise due skill care and diligence in managing the business-whether he took reasonable steps to ensure compliance with relevant standards regarding the operation of client money accounts-Statements of Principle 6 and 7 Fitness and properness of approved person-prohibition order in relation to significant influence functions-s 56 FSMA Financial penalty-appropriate level of penalty-s 66(3)FSMA.

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