Carrimjee v Financial Conduct Authority: UTTC 4 Mar 2015

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 FSMA Prohibition Order-s56 FSMA

[2015] UKUT 79 (TCC)
England and Wales

Financial Services

Updated: 19 November 2021; Ref: scu.549073