TY  - JOUR
AB  - 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.
VL  - 16
IS  - 1
SN  - 1358-1988
DO  - 10.1108/13581980810853271
UR  - https://doi.org/10.1108/13581980810853271
AU  - Gray Joanna
PY  - 2008
Y1  - 2008/01/01
TI  - Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal
T2  - Journal of Financial Regulation and Compliance
PB  - Emerald Group Publishing Limited
SP  - 116
EP  - 119
Y2  - 2024/04/25
ER  -