IDEAS home Printed from https://ideas.repec.org/a/eme/jfrcpp/13581980610711199.html
   My bibliography  Save this article

Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse

Author

Listed:
  • Joanna Gray

Abstract

Purpose - The purpose of this paper is to describe how the Financial Services and Markets Tribunal turned down a costs application from a broker it had earlier found not to have engaged in market abuse. Design/methodology/approach - The paper outlines the facts surrounding the decision. Findings - The case drives home the importance of insurance against the costs of Tribunal representation for key employees in the financial services industry at risk of FSA enforcement proceedings. Originality/value - The paper highlights the Financial Services and Markets Tribunal decision to awarding costs.

Suggested Citation

  • Joanna Gray, 2006. "Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse," Journal of Financial Regulation and Compliance, Emerald Group Publishing Limited, vol. 14(4), pages 418-423, October.
    • Handle: RePEc:eme:jfrcpp:13581980610711199
    DOI: 10.1108/13581980610711199
    as

    Download full text from publisher

    File URL: https://www.emerald.com/insight/content/doi/10.1108/13581980610711199/full/html?utm_source=repec&utm_medium=feed&utm_campaign=repec
    Download Restriction: Access to full text is restricted to subscribers
    File URL: https://www.emerald.com/insight/content/doi/10.1108/13581980610711199/full/pdf?utm_source=repec&utm_medium=feed&utm_campaign=repec
    Download Restriction: Access to full text is restricted to subscribers
    File URL: https://libkey.io/10.1108/13581980610711199?utm_source=ideas
    LibKey link: if access is restricted and if your library uses this service, LibKey will redirect you to where you can use your library subscription to access this item
    ---><---

    As the access to this document is restricted, you may want to search for a different version of it.

    More about this item

    Keywords

    Legal decisions; Tribunals;

    Statistics

    Access and download statistics

    Corrections

    All material on this site has been provided by the respective publishers and authors. You can help correct errors and omissions. When requesting a correction, please mention this item's handle: RePEc:eme:jfrcpp:13581980610711199. See general information about how to correct material in RePEc.

    If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.

    We have no bibliographic references for this item. You can help adding them by using this form .

    If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your RePEc Author Service profile, as there may be some citations waiting for confirmation.

    For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: Emerald Support (email available below). General contact details of provider: .

    Please note that corrections may take a couple of weeks to filter through the various RePEc services.

    IDEAS is a RePEc service. RePEc uses bibliographic data supplied by the respective publishers.