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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

Financial services compensation scheme's claim for legal privilege upheld

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 3, pp. 281-283

Purpose – The purpose of this paper is to report and comment on Financial Services Compensation Scheme Ltd v. Abbey National Treasury Services plc. Design/methodology/approach – The paper outlines the facts surrounding the case and comments on the decision. Findings – The Court agreed with...

Persistent link: https://www.econbiz.de/10014870110

High court rules customer who opted from private to intermediate customer status to have been contributorily negligent to his spread betting losses

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 414-420

Purpose – The article's aim is to report and comment on the High Court case Spreadex Ltd v. Sekhon . Design/methodology/approach – The article outlines the facts surrounding the case and comments on the ruling. Findings – The High Court rules that a customer who opted from private to...

Persistent link: https://www.econbiz.de/10014870117

Court of appeal confirms decision that claim in relation to pension transfer and drawdown advice is time barred

Gray, Joanna - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 421-425

Purpose – The article's aim is to report and comment on the Court of Appeal case Shore v. Sedgwick Financial Services Ltd & Others . Design/methodology/approach – The article outlines the facts surrounding the appeal and comments on the ruling. Findings – The Court of Appeal reached the...

Persistent link: https://www.econbiz.de/10014870118

Extent to which financial services compensation scheme can pursue claims assigned to it by investors whom it has compensated

Gray, Joanna - In: Journal of Financial Regulation and Compliance 17 (2009) 1, pp. 70-75

Purpose – The paper's aim is to report and comment on two preliminary issues that arose from claims being pursued by the Financial Services Compensation Scheme (FSCS) against Abbey National Treasury Services (ANTS) and NDF Administration Ltd (NDF). Design/methodology/approach – The paper...

Persistent link: https://www.econbiz.de/10014870124

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