This site is based on Disciplinary and Regulatory
Proceedings, 4th Edition.
Index for "Chapter 17"Chapter 17: Enforcement powers of the FSAIn Paul Davidson and Ashley Tatham v FSA , 7 September 2006 Davidson and Tatham successfully appealed against FSA fines of £750,000 and £100,000 respectively for market abuse and the Financial Servi...Chapter 17: Use of evidence obtained during FSA enquiries: Real Estate Opportunities Limited v Aberdeen Asset Managers Jersey Limited & Ors [2007] EWCA Civ 197The Court of Appeal held that evidence obtained in the course of FSA enquiries could be released to third parties for use in private lawsuits, notwithstanding the provisions of Sections 348 and 391 of...Open hearings: Financial Services OmbudsmanBy virtue of the Financial Services and Markets Act 2000, section 225 the Financial Ombudsman Service provides a service "under which … disputes may be resolved quickly and with minimum formality". ... |
|
