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