Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal
Journal of Financial Regulation and Compliance
ISSN: 1358-1988
Article publication date: 22 February 2008
Abstract
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 that this ruling shows the difficulty facing senior individuals who have worked in head of compliance and other senior management functions within firms which are subsequently subject to discipline and enforcement for breaches of FSA rules and principles in relation to corporate governance, systems and controls and other serious compliance failings.
Originality/value
This paper provides useful information for those working in a senior management role.
Keywords
Citation
Gray, J. (2008), "Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal", Journal of Financial Regulation and Compliance, Vol. 16 No. 1, pp. 116-119. https://doi.org/10.1108/13581980810853271
Publisher
:Emerald Group Publishing Limited
Copyright © 2008, Emerald Group Publishing Limited