Sussex Independent Financial Advisers Ltd v The Financial Conduct Authority (Financial Services – Supervisory Notice): UTTC 25 Jul 2019

FINANCIAL SERVICES – Supervisory Notice – Application for direction to suspend the effect of notice until reference disposed of – Notice varied Applicants permission by removing regulated activities from those to which its Part 4A FSMA permission related- Reason for notice: failure to satisfy Threshold Conditions of appropriate resources and suitability – whether Tribunal satisfied that the direction to suspend the effect of the notice would not prejudice the interests of consumers – no – Application dismissed – Rule 5 (5) The Tribunal Procedure (Upper Tribunal) Rules 2008.

Citations:

[2019] UKUT 228 (TCC)

Links:

Bailii

Jurisdiction:

England and Wales

Financial Services

Updated: 09 September 2022; Ref: scu.643786