FSA v Joseph 22/11/11
Location: Case TypesFinancial Services    
Posted by: Law Brief Publishing 05/01/2012 19:16
The FSA fined a compliance officer £14,000 and banned her from performing any significant influence function in regulated financial services for breaching Principle 6 of the FSA's Statements of Principle for Approved Persons. Although aware of investors' concerns and the resignation of the prime broker the FSA concluded that the compliance officer had not properly investigated the matter or acted on the information.
Court: United Kingdom Tribunals (England and Wales)
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