FCA decides to ban and fine Daniel Thomas over unauthorised pension transfer advice
The FCA has decided to ban Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly gave defined benefit pension transfer advice he was neither qualified nor allowed to give.
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Qué ocurrió
The FCA has decided to ban Daniel Thomas from working in financial services and fine him £742,700 after finding he recklessly gave defined benefit pension transfer advice he was neither qualified nor allowed to give.
Por que importa
The decision may change compliance obligations, market access or operating costs for FCA.
Entidades afectadas
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1 articulos · 1 informe original · 1 independientes
- Financial Conduct AuthorityFuente primaria · Respalda · EN · 100%FCA decides to ban and fine Daniel Thomas over unauthorised pension transfer advice ↗
Afirmaciones
- FCA decides to ban and fine Daniel Thomas over unauthorised pension transfer advice Observado
Conflictos
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Cronología
- Primera publicación
Movimiento del mercado posterior al evento
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