Chiesa and Another v Financial Conduct Authority

[2017] UKUT 0275 TCC, Judge Greg Sinfield, 17 March; 13 July 2017

Financial services - Enforcement - Disclosure - Abuse of Process - Tribunal Procedure (Upper Tribunal) Rules 2008 (SI 2008 No 2698 (L 15)) r 5(3)(d) and Schedule 3 para 4(3)(b)

The applicants were partners in a partnership which had traded principally as Westwood Independent Financial Planners ("Westwood"). Westwood was an authorised person pursuant to the Financial Services and Markets Act 2000 ("FSMA") and the applicants were approved to perform certain controlled functions.