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FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime

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  • Joanna Gray

Abstract

Purpose - The purpose of this paper is to look at a recent Financial Services Authority (FSA) challenge in the Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime (FSAv.Fox Hayes: Court of Appeal(civil division): Lord Justice Longmore, Lord Justice Wilson, Lord Justice Lawrence Collins). Design/methodology/approach - Examines the FSA's various grounds for appeal and what was an appropriate level of penalty. Findings - Provides the court of appeal's decisions on point of law in relation to three issues. Originality/value - This paper will be of interest to regulated firms who fear the consequences of regulatory liability for breaches of FSA rules.

Suggested Citation

  • Joanna Gray, 2009. "FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime," Journal of Financial Regulation and Compliance, Emerald Group Publishing Limited, vol. 17(3), pages 349-356, July.
    • Handle: RePEc:eme:jfrcpp:v:17:y:2009:i:3:p:349-356
    DOI: 10.1108/13581980910972278
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