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This site is based on Disciplinary and Regulatory Proceedings, 8th Edition
Disciplinary and Regulatory Proceedings is the leading work on this important and dynamic area of law. For 20 years it has provided authoritative guidance to lawyers, tribunals, and other experts dealing with professional discipline and regulation.

The fault of others

The duty of integrity can be breached where someone else initiates wrong-doing and where the person in question is put in a position of choosing whether to go along with it.
The Upper Tribunal said that despite assuming in favour of Ms Karan that it had been Mr Karpe and not her that had initiated the various acts of wrongdoing, the tribunal was nonetheless satisfied that the Ms Karan allowed her name to figure as the client adviser in relation to numerous transactions. Whilst recognising that she had been placed in an extremely awkward situation through the manipulation of Mr Karpe, the fact, however, is that over and over against she chose to go along with and, on occasions, to facilitate Mr Karpe’s wrong-doing.
Karan v Financial Services Authority [ 2012] UKUT B8 (TCC) (£90000 financial penalty upheld).

 

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