JAMES EDWARD STALEY v THE FINANCIAL CONDUCT AUTHORITY [2025] UKUT 00203 (TCC)

Upper Tribunal Tax and Chancery decision of JUDGE TIMOTHY HERRINGTON

From:
HM Courts & Tribunals Service and Upper Tribunal (Tax and Chancery Chamber)
Published
26 June 2025
Category:
Financial 天美影院
Release date:
26 June 2025

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FINANCIAL SERVICES 鈥� whether Chief Executive Officer acted without integrity or failed to be open and cooperative with the Authority in failing to correct inaccurate statements in a letter sent by his employer to the Authority regarding his relationship with Jeffrey Epstein - whether Chief Executive fit and proper to perform senior management or significant influence function - s 56 FSMA- ICR 1 & 3 Individual Conduct Rules - SMCR 4 Senior Manager Conduct Rules

Financial penalty- whether financial penalty correctly calculated - whether appropriate aggravating and mitigating factors applied- s66 FSMA- DEPP Chapter 6

Updates to this page

Published 26 June 2025