General insurance broker in breach of FSA rules
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’
Citations:
[2013] UKUT B4 (TCC)
Links:
Jurisdiction:
England and Wales
Cited by:
Appeal from – Jeffery v The Financial Conduct Authority CA 19-Jan-2016
. .
Lists of cited by and citing cases may be incomplete.
Financial Services
Updated: 29 March 2022; Ref: scu.521000