Tag - Upper Tribunal

FCA fines Arian Financial for failings relating to cum-ex trading

Laura Wiles

10/01/2025

FCA successfully appeals Upper Tribunal decision

Laura Wiles

18/12/2024

Tribunal backs FCA refusal of authorisation application on fit and proper grounds

Laura Wiles

04/09/2024

Upper Tribunal confirms compensation and validation possible for credit breaches

Harshil Patel

20/06/2022

Tribunal backs decision to ban

Emma Radmore

02/08/2018

Tribunal rules on Validation Order on credit agreements brokered by unauthorised firm

FIN. Team

01/08/2018

Request for extension of time denied as Upper Tribunal considers section 393 FSMA

FIN. Team

10/11/2017

Insurance broker loses authorisation over non-compliance with FOS award

FIN. Team

09/11/2017

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