Westwood Independent Financial Planners v FCA [2013] UKUT B9 (TCC) (22 November 2013)
"FINANCIAL SERVICES – alleged breaches of Principle 7 (communication of information)
and Principle 9 (suitability of advice) of Principles for Businesses and related Conduct of
Business Rules in relation to Geared Traded Endowment Policies - whether Authority and
Tribunal have jurisdiction - yes - whether Applicant breached Principles and COB Rules –
yes - whether financial penalty appropriate - yes - amount of penalty confirmed - reference
dismissed "
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