FCA bans and fines Warwickshire adviser
- Thursday, 15 April 2021
- Articles
The Financial Conduct Authority has banned former Dickinsons Financial Management adviser Simon Varley from working in financial services and fined him £68,300 for “lacking honesty and integrity.”
Read more...FCA seeks ban on sex offender IFA
- Monday, 29 March 2021
- Articles
The FCA has banned IFA Jon Frensham of Frensham Wealth Limited from performing any regulated activity after finding him ‘not a fit and proper person.’
Read more...TPR bans corporate trustee for ‘serious’ failings
- Tuesday, 29 December 2020
- Articles
The Pensions Regulator (TPR) has banned corporate trustee Audax Pension Trust and one of its directors, Edward Martin Kelly, from acting as pension scheme trustees after multiple governance failures.
Read more...FCA fines and bans hedge fund CIO
- Thursday, 17 December 2020
- Articles
The Financial Conduct Authority has fined hedge fund chief investment officer Corrado Abbattista £100,000 for market abuse and banned him indefinitely from performing any regulated activity functions.
Read more...