FCA Tribunal confirms fine and ban for adviser network boss
- Wednesday, 09 August 2017
- Articles
The FCA’s Upper Tribunal has upheld the regulator’s decision to ban Charles Palmer, the former chief executive of Financial Limited and Investments Limited, from performing FCA significant influence functions.
Read more...Takeover close for adviser network fined £12m and banned from hiring
- Monday, 19 January 2015
- Articles
The parent company of an advisory firm, which was fined £12m by the FCA and banned from hiring advisers last summer, is on the verge of being acquired in a £2.7m deal.
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