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Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 2, pp. 217-220

Purpose – To report and comment on the case Paul Davidson, Ashley Tatham v. The Financial Services Authority . Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Tribunal ruled that the decision of the Financial Services Authority (FSA) which...

Persistent link: https://www.econbiz.de/10014870065

The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 2, pp. 221-226

Purpose – To report and comment on the case Real Estate Opportunities v. Aberdeen Asset Managers Jersey Ltd & Ors . Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Court ruled that the rules relating to the attribution of knowledge to a...

Persistent link: https://www.econbiz.de/10014870066

Court of appeal ruling on discovery in civil litigation of regulatory information protected from disclosure by section 348 FSMA

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 3, pp. 337-342

Purpose – This paper aims to report and comment on the Court of Appeal ruling on Real Estate Opportunities Ltd v. Aberdeen Asset Managers Jersey Ltd and others . Design/methodology/approach – The paper outlines the facts surrounding this decision and the action involved. Findings – The...

Persistent link: https://www.econbiz.de/10014870074

At FSA's application High Court orders winding‐up of UK partnership which facilitated offshore boiler room share sales to UK investors

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 3, pp. 343-347

Purpose – This study aims to report and comment on the High Court judgment regarding The Inertia Partnership (TIP). Design/methodology/approach – The paper outlines the facts surrounding this decision and comments on the ruling. Findings – The court took a strong line on the link between...

Persistent link: https://www.econbiz.de/10014870075

Company directors' disqualification proceedings following the failure of FSA‐regulated firm

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 1, pp. 111-115

Purpose – The purpose of this paper is to report on the company directors' disqualification proceedings following the failure of FSA‐regulated firm. Design/methodology/approach – The paper outlines the facts surrounding the decision and comments on the ruling. Findings – It was found...

Persistent link: https://www.econbiz.de/10014870094

Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 1, pp. 116-119

Purpose – The purpose of this paper is to outline the objections to terms of FSA decision notice heard by the Financial Services and Markets Tribunal. Design/methodology/approach – The paper outlines the facts surrounding the decision and comments on the ruling. Findings – It was found...

Persistent link: https://www.econbiz.de/10014870095

Lloyd's names fail in claim against government based on failure to implement insurance directive

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 2, pp. 188-191

Purpose – The purpose of this paper is to report and comment on the Court of Appeal, Poole and Others v. HM Treasury . Design/methodology/approach – The paper outlines the facts surrounding the case and comments on the ruling. Findings – Lord Justice Buxton gave the only judgment in this...

Persistent link: https://www.econbiz.de/10014870101

Financial services and markets tribunal rules on application of financial promotion regime

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 2, pp. 192-199

Purpose – The purpose of this paper is to describe the Financial Services and Markets Tribunal ruling on the application of the financial promotion regime, involving Fox Hayes v. Financial Services Authority. Design/methodology/approach – The paper outlines the facts surrounding the case and...

Persistent link: https://www.econbiz.de/10014870102

High court rules negligence claim in relation to pension advice in relation to income draw down scheme is time barred

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 3, pp. 274-280

Purpose – The purpose of this paper is to report and comment on the High Court of Justice ruling on Shore v. Sedgwick Financial Services Ltd & Others. Design/methodology/approach – The paper outlines the facts surrounding the case and comments on the ruling. Findings – The claim for breach...

Persistent link: https://www.econbiz.de/10014870109

Court of Appeal dismisses appeal on admissibility of FSA material as evidence in Directors Disqualification Proceedings

Gray, Joanna - In: Journal of Financial Regulation and Compliance 17 (2009) 1, pp. 76-80

Purpose – The paper's aim is to outline and comment on the Court of Appeal case: Secretary of State for Business Enterprise and Regulatory Reform v. Aaron and Others , October 2008. Design/methodology/approach – The paper outlines the facts surrounding the case and comments on the ruling....

Persistent link: https://www.econbiz.de/10014870125