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首页> 外文期刊>Journal of Financial Regulation and Compliance >Financial services and markets tribunal rules on application of financial promotion regime
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Financial services and markets tribunal rules on application of financial promotion regime

机译：金融服务和市场法庭关于应用金融促进制度的规则

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摘要

Purpose – The purpose of this paper is to describe the Financial Services and Markets Tribunal ruling on the application of the financial promotion regime, involving Fox Hayes v. Financial Services Authority. Design/methodology/approach – The paper outlines the facts surrounding the case and comments on the ruling. Findings – The Tribunal disagreed with the FSA that the applicant had acted negligently or recklessly. Originality/value – The paper highlights the lack of clarity and guidance on the part of the FSA as to exactly which firms on its list of unauthorised firms it considered as “boiler rooms” and which it did not.
机译：目的–本文的目的是描述涉及金融促进制度的金融服务和市场法庭裁定，涉及Fox Hayes诉金融服务管理局。设计/方法/方法-本文概述了围绕该案的事实，并对裁决提出了意见。调查结果–法庭不同意FSA的说法，即申请人过失或鲁ck行事。原创性/价值–该文件强调了FSA方面缺乏明确性和指导性，即在其未授权公司名单上哪些公司被视为“锅炉房”，哪些公司没有。

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