Chick v Guernsey Financial Services Commission (Application for Leave to Appeal) (2020-08-04)

Summary

This is a Royal Court of Guernsey judgment refusing Alan Michael Chick leave to appeal an earlier decision that struck out his claim against the Guernsey Financial Services Commission under the Human Rights (Bailiwick of Guernsey) Law, 2000. It is a judicial decision published by the GFSC as part of its record of judicial decisions relating to enforcement, not a rule or notice imposing new obligations on regulated entities.

The Applicant argued that the underlying strike out judgment was invalid because the judge had become functus officio on retiring as Bailiff, and that the appointment of a Senior Decision Maker (SDM) by the GFSC to handle his disciplinary matter was ultra vires under section 19(5) of the Financial Services Commission (Bailiwick of Guernsey) Law, 1987. The Court rejected all nine grounds of appeal, finding they had no prospect of success and did not raise an exceptional issue of public interest.

• Grounds rejected: Functus officio argument, alleged ultra vires appointment of SDMs contrary to section 19(5), criminal versus civil nature of disciplinary proceedings and ECHR compliance, bad faith and natural justice, exclusion of additional evidence, and refusal to refer the matter to a hearing before Jurats were all found without merit.
• Outcome: Leave to appeal was refused, but the Applicant was advised he retains a right to apply to the Court of Appeal for leave to appeal, subject to any directions that court might impose.