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Join experts from Redgrave Data, ModeOne, Purpose Legal, Pinpoint Labs, and Robbins Gellar as they trace the evolution of forensic collections. Dive into the...
Join experts from Redgrave Data, ModeOne, Purpose Legal, Pinpoint Labs, and Robbins Gellar as they trace the evolution of forensic collections. Dive into the...
After he provided investment advice to retail customers when he ‘was not qualified or approved to do so’ The Financial Conduct Authority (FCA) has prohibited Simon Varley from working in financial services and fined him £68,300 ($94,227, €78,642). Varley worked at advisory firm Dickinsons Financial Management, where he held a customer adviser function (CF30) until January 2013. The UK watchdog said it has taken this action because he “knowingly performed a controlled function without approval and provided investment advice to retail customers when he knew he was not qualified or appr...
Adviser banned and fined for “lacking honesty and integrity” By Sonia Rach 15 th April 2021 12:49 pm The FCA has fined an adviser £63,800 for “lacking honesty and integrity” and banned him from working in financial services. Former adviser Simon Varley worked at Birmingham based IFA Dickinsons Financial Management Limited, where he held a customer adviser function until January 2013. Following the Retail Distribution Review in 2012, the FCA introduced rules requiring advisers to hold a minimum level of qualification to be approved for this function. As a r...
ADVERTISEMENT ADVERTISEMENT City Watchdog Bans Exec For Providing Unqualified Advice Law360, London (April 15, 2021, 3:50 PM BST) -- Britain's finance watchdog said on Thursday that it has fined the director of a small financial advisory firm and banned him from working in the sector for misrepresenting his qualifications so that he could provide investment advice to retail customers. Simon Varley, a director at Dickinsons Financial Management Ltd., was fined £68,300 ($94,000) after he was found to have lied to his colleagues, telling them that he had passed the relevant exams required for ...