Arch Financial Products LLP, Robin Farrell and Robert Addison v The Financial Conduct Authority: [2015] UKUT 0013 (TCC)
Upper Tribunal Tax and Chancery decision of Judge Herrington, Member O'Neill and Member Freeman on 19 January 2015.
Read the full decision in .
FINANCIAL SERVICES 바카라 사이트“ investment management 바카라 사이트“ management of conflicts of interest - compliance monitoring - separation of decision making within firm acting for different customers 바카라 사이트“ whether property of open ended investment companies managed with the aim of providing a prudent spread of risk as regards liquidity 바카라 사이트“ Principles 2, 3, 8 in respect of alleged breaches by firm and Statements of Principle 6 and 7 in respect of alleged breaches by individual Applicants Management of conflicts of interest in respect of four specific transactions 바카라 사이트“ whether Applicants acted without integrity 바카라 사이트“ Principle 1 in respect of alleged breaches by firm and Statement of Principle 1 in respect of alleged breaches by individual Applicants Financial penalty and public censure 바카라 사이트“ whether action against individual Applicants prevented by limitation 바카라 사이트“ s66(4), (5) FSMA 바카라 사이트“ appropriate level of penalty 바카라 사이트“ ss66(3), 205 FSMA Fitness and properness of individuals 바카라 사이트“ withdrawal of approvals 바카라 사이트“ prohibition orders 바카라 사이트“ ss56 and 63 FSMA.