The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.
Tag Archive for from-performing
Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. The Tribunal also upheld the FCA’s decision to impose a financial penalty of £86,691 on Mr Palmer.
The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator
The FCA has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification status.
We have decided to prohibit Andrew Barry Hart from performing any role in regulated financial services and have decided to cancel Wage Payment and Payday Loans Limited’s interim permission.
The FCA has banned Paul White from performing any function in relation to any regulated financial activity and publicly censured him.